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Wealth Manager · Small ($100M–$1B)
CRD 108712
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ADV data as of May 12, 2025
- Regulatory AUM
- $220M
- Discretionary
- $219M
- Clients
- 413
- Avg AUM / client
- $534K
- Accounts
- 413
- Employees
- 3
AUM over time
$108M
$497M
Dec 2011
May 2025
Annual snapshots from Form ADV filings · as of May 12, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 364 | $82.7M | 37.5% |
| High net worth individuals | 25 | $55.0M | 25.0% |
| Pooled investment vehicles (non-investment companies) | 2 | $14.9M | 6.75% |
| Pension and profit sharing plans | 12 | $26.6M | 12.1% |
| Charitable organizations | 1 | $192K | 0.09% |
| Corporations and other businesses | 9 | $41.0M | 18.6% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $220M (100% of AUM) May 2025
- Keybank National Association $198M (46% of AUM) Mar 2025
- Trust Company Of America $14.0M (4% of AUM) Mar 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: May 12, 2025.