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Mutual Fund / Asset Manager · Boutique (under $100M)
CRD 316920
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ADV data as of Mar 17, 2025
- Regulatory AUM
- $53.3M
- Discretionary
- $53.3M
- Clients
- 2
- Avg AUM / client
- $26.6M
- Accounts
- 2
- Employees
- 6
AUM over time
$885K
$53.3M
Jan 19, 2022
Mar 17, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 17, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 1 | $49.5M | 92.8% |
| Pooled investment vehicles (non-investment companies) | 1 | $3.8M | 7.15% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Axos Clearing $994K (100% of AUM) Jan 2022
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: Mar 17, 2025.