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Wealth Manager · Small ($100M–$1B)
CRD 283696
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ADV data as of Mar 13, 2025
- Regulatory AUM
- $367M
- Discretionary
- $367M
- Clients
- 532
- Avg AUM / client
- $689K
- Accounts
- 1,345
- Employees
- 4
AUM over time
$0
$367M
Dec 2015
Dec 2024
Annual snapshots from Form ADV filings · as of Mar 13, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 429 | $146M | 39.8% |
| High net worth individuals | 98 | $212M | 57.7% |
| Pooled investment vehicles (non-investment companies) | 1 | $6.0M | 1.63% |
| Charitable organizations | 4 | $3.2M | 0.87% |
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
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
Custody
Reported custodians
- TradePMR $209M (57% of AUM) Mar 2025
- Wells Fargo $171M (56% of AUM) Nov 2024
- Charles Schwab & Co. $151M (41% of AUM) Mar 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: Mar 13, 2025.