Adviser Profile

As of Date 04/20/2026
Registration SEC, Approved, 06/25/1992
ADV Location PHOENIX, AZ, United States
Contact Info 623 xxxxxxx
Websites
AUM* 294,661,243 -55%
of that, discretionary 132,017,302 -49%
Number of Employees 5 -17%
of those in investment advisory functions 3 -25%
Private Fund GAV* 0
Avg Account Size 198,158 -65%
% High Net Worth 4.21% -2%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Charitable organizations
- State or municipal government entities
- Other investment advisers
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Pension consulting services
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Reported AUM

1B 917M 764M 612M 459M 306M 153M
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker72201R585 Stock NamePIMCO MULTISECTOR BOND ACTIVE EXCHANGE-TRADED FUND $ Position$38,131,767 % Position31.00% $ Change # Change
Stck Ticker78464A805 Stock NameSTATE STREET SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET $ Position$22,255,810 % Position18.00% $ Change # Change
Stck Ticker81369Y803 Stock NameSTATE STREET TECHNOLOGY SELECT SECTOR SPDR $ Position$13,078,864 % Position11.00% $ Change # Change
Stck Ticker464287200 Stock NameISHARES CORE S&P 500 $ Position$9,221,617 % Position8.00% $ Change # Change
Stck Ticker464289420 Stock NameIWX - ISHARES RUSSELL TOP 200 VALUE $ Position$8,211,741 % Position7.00% $ Change # Change
Stck Ticker81369Y407 Stock NameSTATE STREET CONSUMER DISCRETIONARY SELECT SECTOR SPDR $ Position$3,311,831 % Position3.00% $ Change # Change
Stck Ticker78464A409 Stock NameSTATE STREET SPDR PORTFOLIO S&P 500 GROWTH $ Position$1,935,774 % Position2.00% $ Change # Change
Stck Ticker81369Y852 Stock NameSTATE STREET COMMUNICATION SERVICES SELECT SECTOR SPDR $ Position$1,859,712 % Position2.00% $ Change # Change
Stck Ticker81369Y605 Stock NameSTATE STREET FINANCIAL SELECT SECTOR SPDR $ Position$2,347,329 % Position2.00% $ Change # Change
Stck Ticker81369Y209 Stock NameSTATE STREET HEALTH CARE SELECT SECTOR SPDR $ Position$2,292,285 % Position2.00% $ Change # Change

Brochure Summary