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Wealth Manager · Small ($100M–$1B)
CRD 120253
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ADV data as of Feb 06, 2025
- Regulatory AUM
- $307M
- Discretionary
- $307M
- Clients
- 356
- Avg AUM / client
- $862K
- Accounts
- 360
- Employees
- 8
AUM over time
$137M
$307M
Dec 2011
Dec 2024
Annual snapshots from Form ADV filings · as of Feb 06, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 260 | $75.3M | 24.5% |
| High net worth individuals | 96 | $216M | 70.2% |
| Banking or thrift institutions | Fewer than 5 | — | — |
| Pension and profit sharing plans | Fewer than 5 | — | — |
| Charitable organizations | Fewer than 5 | $1.3M | 0.41% |
| State or municipal government entities | Fewer than 5 | — | — |
| Other investment advisers | Fewer than 5 | — | — |
| Insurance companies | Fewer than 5 | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | — | — |
| Corporations and other businesses | Fewer than 5 | $14.7M | 4.8% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Fidelity Distributors Company Llc $243M (79% of AUM) Feb 2025
- Fidelity Investments Institutional Services Company, Inc. $146M (70% of AUM) Mar 2019
- Charles Schwab & Co. $52.3M (20% of AUM) Mar 2021
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: Feb 06, 2025.