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Wealth Manager · Mid-sized ($1B–$10B)
CRD 109361
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ADV data as of Mar 18, 2025
- Regulatory AUM
- $1.1B
- Discretionary
- $1.0B
- Clients
- 664
- Avg AUM / client
- $1.6M
- Accounts
- 1,738
- Employees
- 10
AUM over time
$268M
$1.1B
Mar 20, 2012
Mar 18, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 18, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 368 | $183M | 17.4% |
| High net worth individuals | 262 | $708M | 67.4% |
| Pension and profit sharing plans | 9 | $32.3M | 3.08% |
| Charitable organizations | 25 | $57.7M | 5.49% |
| State or municipal government entities | Fewer than 5 | $58.9M | 5.6% |
| Corporations and other businesses | Fewer than 5 | $10.1M | 0.97% |
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
Custody
Reported custodians
- Charles Schwab & Co. $820M (78% of AUM) Mar 2025
- Fidelity Distributors Company Llc $230M (22% of AUM) Mar 2025
- Fidelity Investments Institutional Services Company, Inc. $73.4M (14% of AUM) Oct 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: Mar 18, 2025.