| AUM* | 319,218,981 65% |
| of that, discretionary | 300,812,330 66% |
| Number of Employees | 36 44% |
| of those in investment advisory functions | 9 13% |
| Private Fund GAV* | 0 |
| Avg Account Size | 130,293 19% |
| High Net Worth | 5.97% 105% |
| SMA’s | No |
| Private Funds | 0 |
- Individuals (other than high net worth individuals)
- High net worth individuals
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Publication of periodicals or newsletters
- Educational seminars/workshops
- A percentage of assets under your management
| 11.H(1)(b) | Court found investment-related violation |
| 11.H(2) | Currently subject to civil proceeding |
No private funds