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Wealth Manager · Small ($100M–$1B)
CRD 109675
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ADV data as of Feb 04, 2025
- Regulatory AUM
- $335M
- Discretionary
- $251M
- Clients
- 56
- Avg AUM / client
- $6.0M
- Accounts
- 202
- Employees
- 5
AUM over time
$65.0M
$360M
Dec 2011
Dec 2024
Annual snapshots from Form ADV filings · as of Feb 04, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 24 | $7.9M | 2.35% |
| High net worth individuals | 29 | $320M | 95.4% |
| Charitable organizations | 3 | $7.5M | 2.22% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $253M (76% of AUM) Feb 2025
- Merrill Lynch $65.6M (20% of AUM) Feb 2025
- J.P. Morgan $14.8M (13% of AUM) Feb 2019
- Interactive Brokers $2.1M (1% of AUM) Mar 2021
- Victory Capital Services, Inc. $233K (0% of AUM) Mar 2021
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: Feb 04, 2025.