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Adviser Profile

AUM* 2,923,412,105 -13%
of that, discretionary 1,479,183,227 -21%
Number of Employees 28 -28%
of those in investment advisory functions 8 -27%
Private Fund GAV* 318,040,625
Avg Account Size 519,903 8%
% High Net Worth 4.46% 59%
SMA’s Yes
Private Funds 2 2

Adviser Type

- Large advisory firm
- An investment adviser (or subadviser) to an investment company

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Pension and profit sharing plans
- Charitable organizations
- State or municipal government entities
- Insurance companies
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Reported AUM

10B 9B 7B 6B 4B 3B 1B
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Accounting Firm Name Filing Date Form ADV-E
Accounting Firm Name RICHEY MAY & CO Filing Date09/25/2024 Form ADV-E View Report
Accounting Firm Name RICHEY MAY & CO Filing Date08/16/2023 Form ADV-E View Report

Private Funds Structure

Count GAV
{{ TypeColumnLabel }} {{ item.FundType }} Count{{ formatCount(item.FundsCount) }} GAV{{ formatGAV(item.AUM) }}

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Brochure Summary