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Wealth Manager · Mid-sized ($1B–$10B)
CRD 157728
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ADV data as of Apr 08, 2025
- Regulatory AUM
- $1.6B
- Discretionary
- $1.4B
- Clients
- 1,498
- Avg AUM / client
- $1.1M
- Accounts
- 4,410
- Employees
- 27
AUM over time
$72.3M
$1.6B
Dec 22, 2011
Apr 8, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 08, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 965 | $366M | 22.4% |
| High net worth individuals | 446 | $1.0B | 62.5% |
| Banking or thrift institutions | 0 | $0 | — |
| Pension and profit sharing plans | 65 | $187M | 11.4% |
| Charitable organizations | 11 | $13.7M | 0.84% |
| State or municipal government entities | 0 | $0 | — |
| Other investment advisers | 0 | $0 | — |
| Insurance companies | 0 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 11 | $46.8M | 2.86% |
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
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $1.2B (72% of AUM) Apr 2025
- Assetmark Brokerage, Llc $149M (9% of AUM) Apr 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: Apr 08, 2025.