Adviser Profile

As of Date 04/14/2026
Registration SEC, Approved, 06/09/2003
ADV Location NEW YORK, NY, United States
Contact Info 212 xxxxxxx
Websites
AUM* 1,153,378,435 101%
of that, discretionary 631,814,847 14%
Number of Employees 13 -19%
of those in investment advisory functions 6 -25%
Private Fund GAV* 0
Avg Account Size 1,539,891 95%
% High Net Worth 60.21% 64%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Corporations or other businesses not listed above

Advisory Activities

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

Compensation Arrangments

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

Reported AUM

632M 542M 451M 361M 271M 181M 90M
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 WITHUM SMITH & BROWN Filing Date01/02/2026 Form ADV-E View Report
Accounting Firm Name WITHUMSMITH+BROWN, P.C. Filing Date11/21/2024 Form ADV-E View Report
Accounting Firm Name WITHUMSMITH+BROWN, P.C. Filing Date10/25/2023 Form ADV-E View Report

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Stck Ticker900934209 Stock Name2023 ETF SERIES TRUST $ Position$9,190,272 % Position2.00% $ Change15.00% # Change12.00%

Brochure Summary