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Mutual Fund / Asset Manager · Small ($100M–$1B)
CRD 38474
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ADV data as of Mar 30, 2026
- Regulatory AUM
- $564M
- Discretionary
- $564M
- Clients
- 2
- Avg AUM / client
- $282M
- Accounts
- 2
- Employees
- 11
AUM over time
$540M
$978M
Mar 27, 2012
Mar 30, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 2 | $564M | 100.0% |
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
- Manufacturers And Traders Trust Company $5.9M (1% of AUM) Mar 2019
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 30, 2026.