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Wealth Manager · Small ($100M–$1B)
CRD 151943
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ADV data as of Oct 29, 2025
- Regulatory AUM
- $338M
- Discretionary
- $338M
- Clients
- 152
- Avg AUM / client
- $2.2M
- Accounts
- 507
- Employees
- 5
AUM over time
$147M
$387M
Dec 2011
Oct 2025
Annual snapshots from Form ADV filings · as of Oct 29, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 68 | $25.1M | 7.41% |
| High net worth individuals | 84 | $296M | 87.5% |
| Pension and profit sharing plans | Fewer than 5 | $961K | 0.28% |
| Charitable organizations | Fewer than 5 | $13.2M | 3.89% |
| Corporations and other businesses | Fewer than 5 | $3.1M | 0.93% |
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
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $330M (97% of AUM) Oct 2025
- Raymond James $212M (99% of AUM) Aug 2019
- Jefferson National Securities Corporation $2.7M (1% of AUM) Nov 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Oct 29, 2025.