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Wealth Manager · Mid-sized ($1B–$10B)
CRD 297808
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ADV data as of Apr 11, 2025
- Regulatory AUM
- $4.4B
- Discretionary
- $4.4B
- Clients
- 895
- Avg AUM / client
- $4.9M
- Accounts
- 3,664
- Employees
- 50
AUM over time
$0
$4.4B
Jun 2018
Dec 2024
Annual snapshots from Form ADV filings · as of Apr 11, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 318 | $287M | 6.55% |
| High net worth individuals | 568 | $4.0B | 92.2% |
| Pension and profit sharing plans | 3 | $10.6M | 0.24% |
| Charitable organizations | 4 | $7.4M | 0.17% |
| Corporations and other businesses | 2 | $36.3M | 0.83% |
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
- • Other fees
- • REVENUE SHARING WITH OUR AFFILIATE, FOCUS RISK SOLUTIONS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $3.4B (77% of AUM) Apr 2025
- National Financial Services (Fidelity) $578M (13% 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 11, 2025.