Portfolio management for individuals/small businesses
Regulatory assets under management
$12.9 billion
Accounts managed
2,160
Clients reported (Form ADV 5.D)
3,575
Individual / high-net-worth clients
3,429 / 145
Employees
7930
Other business activities (Form ADV 6.A)
None reported
Disclosures reported on Form ADV
Yes — see IAPD for details
Latest Form ADV filing
2026-04-30
SEC registered investment adviser, CRD 3487, per the SEC IAPD compilation report of 2026-09-29. Source: SEC Investment Adviser Public Disclosure (IAPD) (record). Data as of 2026-09-30.
Read the official record
SEC IAPD summary for CRD 3487 — registration, Form ADV, the Part 2 brochure (fees, conflicts, minimums), and details of the disclosures reported on Form ADV.
Figures are what the firm reported on Form ADV Part 1A. “No commissions reported” means the firm did not check commissions as a form of compensation in Item 5.E; check Item 6.A activities and the Part 2 brochure for other conflicts. A “Yes” for disclosures is a public-record fact from Form ADV Item 11; it can relate to the firm or its advisory affiliates, can be old, and does not by itself describe the outcome. We do not rate or rank advisers.
All figures are self-reported by the firm on Form ADV Part 1A. The firm's Part 2A brochure (linked from IAPD) explains its fees, minimums and conflicts of interest in plain language — read it before you sign.