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Wealth Manager · Mid-sized ($1B–$10B)
CRD 114572
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ADV data as of Mar 22, 2025
- Regulatory AUM
- $1.1B
- Discretionary
- $1.0B
- Clients
- 640
- Avg AUM / client
- $1.7M
- Accounts
- 1,985
- Employees
- 13
AUM over time
$217M
$1.1B
Dec 2011
Dec 2024
Annual snapshots from Form ADV filings · as of Mar 22, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 383 | $189M | 17.2% |
| High net worth individuals | 227 | $728M | 66.3% |
| Pension and profit sharing plans | 22 | $115M | 10.5% |
| Charitable organizations | 8 | $66.7M | 6.07% |
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
- • Other fees
- • PERCENTAGE RETIREMENT PLAN ASSETS UNDER ADVISEMENT
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $945M (86% of AUM) Mar 2025
- Ascensus Broker Dealer Services, Llc $107M (10% of AUM) Mar 2025
- Newport Group Securities, Inc. $88.5M (10% of AUM) Mar 2022
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 22, 2025.