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Wealth Manager · Mid-sized ($1B–$10B)
CRD 127268
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ADV data as of Nov 25, 2025
- Regulatory AUM
- $3.0B
- Discretionary
- $3.0B
- Clients
- 1,250
- Avg AUM / client
- $2.4M
- Accounts
- 6,481
- Employees
- 49
AUM over time
$614M
$3.0B
Nov 30, 2011
Nov 25, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Nov 25, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 433 | $254M | 8.5% |
| High net worth individuals | 813 | $2.7B | 91.2% |
| Charitable organizations | 1 | $413K | 0.01% |
| Corporations and other businesses | 3 | $9.0M | 0.3% |
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
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $2.7B (91% of AUM) Nov 2025
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: Nov 25, 2025.