N
N
Wealth Manager · Mid-sized ($1B–$10B)
CRD 46214
·
☆ Save with Pro
ADV data as of Aug 04, 2025
- Regulatory AUM
- $3.8B
- Discretionary
- $3.7B
- Clients
- 11,523
- Avg AUM / client
- $327K
- Accounts
- 16,805
- Employees
- 564
AUM over time
$1.3B
$3.8B
Dec 2011
Aug 2025
Annual snapshots from Form ADV filings · as of Aug 04, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 10,815 | $2.4B | 63.8% |
| High net worth individuals | 584 | $1.2B | 31.1% |
| Pension and profit sharing plans | 37 | $47.4M | 1.26% |
| Charitable organizations | 43 | $46.1M | 1.22% |
| Corporations and other businesses | 44 | $98.5M | 2.61% |
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
- • Other fees
- • SEMINAR/WORKSHOP ATTENDANCE FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Pershing $3.1B (81% of AUM) Aug 2025
- Charles Schwab & Co. $650M (17% of AUM) Aug 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: Aug 04, 2025.