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Wealth Manager · Small ($100M–$1B)
CRD 107949
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ADV data as of Mar 31, 2025
- Regulatory AUM
- $358M
- Discretionary
- $157M
- Clients
- 13
- Avg AUM / client
- $27.5M
- Accounts
- 18
- Employees
- 3
AUM over time
$141M
$417M
Dec 2011
Dec 2024
Annual snapshots from Form ADV filings · as of Mar 31, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 | $1.1M | 0.31% |
| High net worth individuals | 13 | $242M | 67.5% |
| Pension and profit sharing plans | Fewer than 5 | $1.1M | 0.3% |
| Charitable organizations | Fewer than 5 | $114M | 31.9% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $137M (38% of AUM) Mar 2025
- Bank Of America, National Association $50.2M (14% of AUM) Mar 2025
- RBC $191K (0% 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 31, 2025.