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Wealth Manager · Small ($100M–$1B)
CRD 139457
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ADV data as of Jul 11, 2025
- Regulatory AUM
- $222M
- Discretionary
- $218M
- Clients
- 63
- Avg AUM / client
- $3.5M
- Accounts
- 158
- Employees
- 3
AUM over time
$147M
$392M
Dec 2011
Jul 2025
Annual snapshots from Form ADV filings · as of Jul 11, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 21 | $6.9M | 3.09% |
| High net worth individuals | 37 | $201M | 90.5% |
| Charitable organizations | 5 | $13.8M | 6.2% |
| Corporations and other businesses | Fewer than 5 | $475K | 0.21% |
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
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $186M (84% of AUM) Jul 2025
- Bank Of America, National Association $13.9M (6% of AUM) Jul 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: Jul 11, 2025.