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Wealth Manager · Mid-sized ($1B–$10B)
CRD 150144
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ADV data as of Mar 13, 2026
- Regulatory AUM
- $3.1B
- Discretionary
- $2.9B
- Clients
- 9,758
- Avg AUM / client
- $316K
- Accounts
- 17,508
- Employees
- 14
AUM over time
$311M
$3.1B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 8,971 | $1.8B | 57.0% |
| High net worth individuals | 548 | $1.0B | 32.6% |
| Pension and profit sharing plans | 229 | $311M | 10.1% |
| Charitable organizations | 2 | $238K | 0.01% |
| Corporations and other businesses | 8 | $7.1M | 0.23% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $1.8B (59% of AUM) Mar 2026
- Pershing $694M (23% of AUM) Mar 2026
- Advisortrust, Inc. $298M (10% 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 13, 2026.