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Wealth Manager · Mid-sized ($1B–$10B)
CRD 3870
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ADV data as of Jan 13, 2025
- Regulatory AUM
- $4.5B
- Discretionary
- $1.2B
- Clients
- 21,454
- Avg AUM / client
- $209K
- Accounts
- 21,454
- Employees
- 655
AUM over time
$860M
$4.9B
Nov 2011
Dec 2024
Annual snapshots from Form ADV filings · as of Jan 13, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 21,003 | $4.2B | 94.6% |
| High net worth individuals | 36 | $60.8M | 1.36% |
| Pension and profit sharing plans | 110 | $49.5M | 1.1% |
| Charitable organizations | 6 | $1.9M | 0.04% |
| Corporations and other businesses | 248 | $125M | 2.79% |
| Other | 51 | $7.0M | 0.16% |
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
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
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $3.4B (76% of AUM) Jan 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: Jan 13, 2025.