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Wealth Manager · Mid-sized ($1B–$10B)
CRD 159506
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ADV data as of Nov 18, 2025
- Regulatory AUM
- $5.3B
- Discretionary
- $3.4B
- Clients
- 14,293
- Avg AUM / client
- $371K
- Accounts
- 14,293
- Employees
- 12
AUM over time
$0
$5.3B
Dec 2011
Nov 2025
Annual snapshots from Form ADV filings · as of Nov 18, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 10,298 | $2.1B | 39.4% |
| High net worth individuals | 3,658 | $2.8B | 52.4% |
| Banking or thrift institutions | 0 | $0 | — |
| Pension and profit sharing plans | 45 | $74.4M | 1.4% |
| Charitable organizations | 135 | $136M | 2.57% |
| State or municipal government entities | 13 | $45.2M | 0.85% |
| Other investment advisers | 0 | $0 | — |
| Insurance companies | 0 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 144 | $180M | 3.4% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Janney Montgomery Scott Llc $5.3B (100% of AUM) Nov 2025
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: Nov 18, 2025.