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Wealth Manager · Small ($100M–$1B)
CRD 7890
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ADV data as of Aug 26, 2025
- Regulatory AUM
- $407M
- Discretionary
- $401M
- Clients
- 280
- Avg AUM / client
- $1.5M
- Accounts
- 928
- Employees
- 9
AUM over time
$120M
$407M
Apr 2, 2012
Aug 26, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 26, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 164 | $76.4M | 18.8% |
| High net worth individuals | 116 | $330M | 81.2% |
| Charitable organizations | Fewer than 5 | $47.5K | 0.01% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $388M (95% of AUM) Aug 2025
- Jefferson National Securities Corporation $6.8M (3% of AUM) Nov 2018
- Athene Securities, Llc $1.6M (1% of AUM) Nov 2018
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: Aug 26, 2025.