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Wealth Manager · Small ($100M–$1B)
CRD 335307
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $436M
- Discretionary
- $389M
- Clients
- 148
- Avg AUM / client
- $2.9M
- Accounts
- 593
- Employees
- 9
AUM over time
$0
$436M
Mar 5, 2025
Mar 31, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 15 | $13.7M | 3.14% |
| High net worth individuals | 128 | $401M | 92.0% |
| Pension and profit sharing plans | 5 | $18.9M | 4.33% |
| Charitable organizations | Fewer than 5 | $1.3M | 0.29% |
| Insurance companies | Fewer than 5 | $1.1M | 0.24% |
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
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- SEI Private Trust $389M (89% of AUM) Mar 2026
- John Hancock Distributors Llc $46.5M (11% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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 31, 2026.