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Wealth Manager · Small ($100M–$1B)
CRD 282179
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ADV data as of Feb 18, 2025
- Regulatory AUM
- $126M
- Discretionary
- $126M
- Clients
- 111
- Avg AUM / client
- $1.1M
- Accounts
- 366
- Employees
- 3
AUM over time
$111M
$127M
Dec 2018
Dec 2024
Annual snapshots from Form ADV filings · as of Feb 18, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 49 | $14.0M | 11.1% |
| High net worth individuals | 62 | $112M | 88.7% |
| Corporations and other businesses | Fewer than 5 | $244K | 0.19% |
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
- • Selection of other advisers
Custody
Reported custodians
- Shareholders Service Group, Inc. $109M (97% of AUM) Jan 2025
- Pershing $68.8M (55% of AUM) Feb 2025
- Altruist Financial $55.4M (44% of AUM) Feb 2025
- Interactive Brokers $2.0M (2% of AUM) Feb 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: Feb 18, 2025.