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Wealth Manager · Mid-sized ($1B–$10B)
CRD 147592
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ADV data as of Mar 29, 2026
- Regulatory AUM
- $4.4B
- Discretionary
- $3.7B
- Clients
- 835
- Avg AUM / client
- $5.2M
- Accounts
- 835
- Employees
- 46
AUM over time
$389M
$4.4B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 29, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 314 | $87.8M | 2.01% |
| High net worth individuals | 477 | $4.2B | 95.8% |
| Pension and profit sharing plans | 27 | $65.9M | 1.51% |
| Charitable organizations | 9 | $15.2M | 0.35% |
| Corporations and other businesses | 8 | $15.8M | 0.36% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • WRAP FEE
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Pershing $2.7B (62% of AUM) Mar 2026
- National Financial Services (Fidelity) $778M (18% of AUM) Mar 2026
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: Mar 29, 2026.