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Wealth Manager · Small ($100M–$1B)
CRD 22449
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ADV data as of Apr 08, 2025
- Regulatory AUM
- $937M
- Discretionary
- $768M
- Clients
- 2,368
- Avg AUM / client
- $396K
- Accounts
- 2,368
- Employees
- 48
AUM over time
$337M
$937M
Dec 2011
Dec 2024
Annual snapshots from Form ADV filings · as of Apr 08, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2,212 | $743M | 79.3% |
| High net worth individuals | 112 | $152M | 16.2% |
| Banking or thrift institutions | 0 | $0 | — |
| Pension and profit sharing plans | 12 | $2.8M | 0.3% |
| Charitable organizations | 9 | $2.5M | 0.27% |
| State or municipal government entities | Fewer than 5 | $0 | — |
| Other investment advisers | Fewer than 5 | $0 | — |
| Insurance companies | Fewer than 5 | $0 | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | $0 | — |
| Corporations and other businesses | 23 | $36.1M | 3.86% |
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
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Wells Fargo $921M (98% 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.