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Wealth Manager · Mid-sized ($1B–$10B)
CRD 170266
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $1.5B
- Discretionary
- $1.5B
- Clients
- 428
- Avg AUM / client
- $3.5M
- Accounts
- 1,213
- Employees
- 10
AUM over time
$180M
$1.5B
Dec 2013
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 172 | $164M | 10.9% |
| High net worth individuals | 199 | $925M | 61.6% |
| Banking or thrift institutions | Fewer than 5 | $72.8M | 4.85% |
| Pension and profit sharing plans | 45 | $255M | 17.0% |
| Charitable organizations | 5 | $31.2M | 2.08% |
| Corporations and other businesses | 7 | $53.7M | 3.58% |
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
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $1.2B (78% of AUM) Mar 2026
- T. Rowe Price Investment Services, Inc. $205M (14% 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 31, 2026.