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Wealth Manager · Small ($100M–$1B)
CRD 166173
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ADV data as of Feb 03, 2026
- Regulatory AUM
- $302M
- Discretionary
- $270M
- Clients
- 328
- Avg AUM / client
- $920K
- Accounts
- 1,005
- Employees
- 5
AUM over time
$115M
$302M
Jul 27, 2016
Feb 3, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 03, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 205 | $51.7M | 17.1% |
| High net worth individuals | 109 | $235M | 77.7% |
| Pension and profit sharing plans | 5 | $14.1M | 4.69% |
| Charitable organizations | 9 | $1.3M | 0.43% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $206M (68% of AUM) Feb 2026
- Fidelity Brokerage Services $66.6M (22% of AUM) Feb 2026
- Ascensus Broker Dealer Services, Llc $10.3M (3% of AUM) Feb 2026
- Dimensional Retirement Plan Services $4.9M (4% of AUM) Mar 2019
- Ktrade Through Fidelity $412K (0% of AUM) Feb 2026
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: Feb 03, 2026.