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Adviser Profile

Registration status Terminated
As of Date 03/30/2025
Adviser Type - Large advisory firm
Number of Employees 49 -39.51%
of those in investment advisory functions 15
AUM* 5,911,757,864 18.10%
of that, discretionary 5,890,631,778 20.40%
Private Fund GAV* 0 -100.00%
Avg Account Size 7,417,513 -0.12%
% High Net Worth 59.76% -12.98%
SMA’s Yes
Private Funds 0 10
Contact Info (21 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pooled investment vehicles

Advisory Activities

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

Compensation Arrangments

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

Reported AUM

Discretionary
Non-discretionary
5B 4B 3B 3B 2B 1B 699M
2015 2016 2017 2018 2019 2020 2021 2022 2023

Private Funds



Employees

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker922908363 Stock NameVANGUARD INDEX FDS $ Position$621,627,580 % Position41.00% $ Change10.00% # Change8.00%
Stck Ticker233051200 Stock NameDBX ETF TR $ Position$244,386,708 % Position16.00% $ Change16.00% # Change17.00%
Stck Ticker78462F103 Stock NameSPDR S&P 500 ETF TR $ Position$142,105,521 % Position9.00% $ Change-8.00% # Change-10.00%
Stck Ticker464287598 Stock NameISHARES TR $ Position$67,949,694 % Position4.00% $ Change-8.00% # Change-6.00%
Stck Ticker464287655 Stock NameISHARES TR $ Position$47,904,292 % Position3.00% $ Change1.00% # Change0.00%
Stck Ticker464287226 Stock NameISHARES TR $ Position$31,145,310 % Position2.00% $ Change-3.00% # Change1.00%
Stck Ticker46137V613 Stock NameINVESCO EXCHANGE TRADED FD T $ Position$20,649,373 % Position1.00% $ Change0.00% # Change0.00%
Stck Ticker46137V357 Stock NameINVESCO EXCHANGE TRADED FD T $ Position$19,716,145 % Position1.00% $ Change-1.00% # Change1.00%
Stck Ticker46090E103 Stock NameINVESCO QQQ TR $ Position$14,682,718 % Position1.00% $ Change12.00% # Change7.00%
Stck Ticker464287804 Stock NameISHARES TR $ Position$11,472,544 % Position1.00% $ Change3738.00% # Change3797.00%

Brochure Summary