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Wealth Manager · Small ($100M–$1B)
CRD 40794
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ADV data as of Mar 29, 2025
- Regulatory AUM
- $698M
- Discretionary
- $697M
- Clients
- 1,486
- Avg AUM / client
- $470K
- Accounts
- 2,245
- Employees
- 27
AUM over time
$112M
$698M
Jan 14, 2016
Mar 29, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 29, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,200 | $293M | 42.0% |
| High net worth individuals | 275 | $385M | 55.2% |
| Pension and profit sharing plans | 8 | $2.2M | 0.31% |
| Charitable organizations | 2 | $17.3M | 2.47% |
| Corporations and other businesses | 1 | $49.8K | 0.01% |
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
- • Pension consulting services
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $486M (70% of AUM) Mar 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: Mar 29, 2025.