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Wealth Manager · Small ($100M–$1B)
CRD 327397
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ADV data as of Mar 11, 2025
- Regulatory AUM
- $514M
- Discretionary
- $480M
- Clients
- 564
- Avg AUM / client
- $911K
- Accounts
- 2,300
- Employees
- 7
AUM over time
$0
$514M
Jul 10, 2023
Mar 11, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 11, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 399 | $183M | 35.6% |
| High net worth individuals | 158 | $320M | 62.2% |
| Pension and profit sharing plans | 5 | $10.7M | 2.08% |
| Charitable organizations | 2 | $197K | 0.04% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Educational seminars/workshops
Custody
Reported custodians
- National Financial Services (Fidelity) $437M (85% of AUM) Mar 2025
- Raymond James $1.9M (0% of AUM) Mar 2025
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 11, 2025.