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Wealth Manager · Small ($100M–$1B)
CRD 124462
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ADV data as of Jan 07, 2025
- Regulatory AUM
- $116M
- Discretionary
- $56.8M
- Clients
- 120
- Avg AUM / client
- $968K
- Accounts
- 648
- Employees
- 3
AUM over time
$43.3M
$116M
Mar 16, 2012
Jan 7, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 07, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 75 | $28.0M | 24.1% |
| High net worth individuals | 40 | $79.6M | 68.5% |
| Pension and profit sharing plans | 5 | $6.0M | 5.15% |
| Corporations and other businesses | Fewer than 5 | $2.6M | 2.26% |
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 OF NET WORTH
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $87.9M (76% of AUM) Jan 2025
- Allianz $6.4M (7% of AUM) Mar 2023
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: Jan 07, 2025.