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Wealth Manager · Small ($100M–$1B)
CRD 314476
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ADV data as of Jan 23, 2026
- Regulatory AUM
- $198M
- Discretionary
- $198M
- Clients
- 190
- Avg AUM / client
- $1.0M
- Accounts
- 499
- Employees
- 4
AUM over time
$103M
$198M
Mar 31, 2022
Jan 23, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 124 | $48.5M | 24.5% |
| High net worth individuals | 58 | $138M | 69.9% |
| Pension and profit sharing plans | 4 | $7.4M | 3.73% |
| Corporations and other businesses | 4 | $3.7M | 1.86% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $191M (96% of AUM) Jan 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 23, 2026.