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Wealth Manager · Mid-sized ($1B–$10B)
CRD 104618
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ADV data as of Mar 28, 2025
- Regulatory AUM
- $1.4B
- Discretionary
- $1.4B
- Clients
- 1,240
- Avg AUM / client
- $1.1M
- Accounts
- 4,180
- Employees
- 33
AUM over time
$500M
$1.4B
Nov 29, 2011
Mar 28, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 28, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 819 | $222M | 16.0% |
| High net worth individuals | 414 | $1.2B | 83.3% |
| Corporations and other businesses | 7 | $9.7M | 0.7% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
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
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $1.3B (93% of AUM) Mar 2025
- Raymond James $989M (85% of AUM) Jul 2024
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 28, 2025.