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Wealth Manager · Mid-sized ($1B–$10B)
CRD 39262
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ADV data as of Jun 16, 2025
- Regulatory AUM
- $3.5B
- Discretionary
- $3.5B
- Clients
- 6,928
- Avg AUM / client
- $507K
- Accounts
- 10,904
- Employees
- 407
AUM over time
$550M
$4.0B
Jan 13, 2012
Jun 16, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 16, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 6,054 | $1.6B | 44.5% |
| High net worth individuals | 702 | $1.7B | 49.2% |
| Pension and profit sharing plans | 88 | $65.2M | 1.86% |
| Charitable organizations | 5 | $41.9M | 1.19% |
| Corporations and other businesses | 79 | $112M | 3.19% |
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • 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
- National Financial Services (Fidelity) $2.8B (79% of AUM) Jun 2025
- Charles Schwab & Co. $559M (15% of AUM) Jan 2025
- Pershing $451M (13% of AUM) Jun 2025
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: Jun 16, 2025.