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Wealth Manager · Mid-sized ($1B–$10B)
CRD 323651
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ADV data as of Mar 28, 2025
- Regulatory AUM
- $1.2B
- Discretionary
- $1.1B
- Clients
- 230
- Avg AUM / client
- $5.0M
- Accounts
- 1,504
- Employees
- 12
AUM over time
$0
$1.2B
Oct 14, 2022
Mar 28, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 28, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 75 | $29.5M | 2.56% |
| High net worth individuals | 150 | $1.1B | 92.5% |
| Pension and profit sharing plans | 3 | $44.5M | 3.86% |
| Charitable organizations | 2 | $12.9M | 1.12% |
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
- • REV SHARING W/ FRS AND ON ELIGIBLE CREDIT & CASH MGMT SOLUTIONS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Fidelity Brokerage Services $931M (81% of AUM) Mar 2025
- Charles Schwab & Co. $139M (12% of AUM) Mar 2025
- Principal Securities, Inc. $47.2M (4% of AUM) Mar 2025
- Stifel, Nicolaus & Company, Incorporated $12.8M (1% of AUM) Mar 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: Mar 28, 2025.