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Adviser Profile

As of Date 03/21/2025
Adviser Type - Large advisory firm
Number of Employees 17
of those in investment advisory functions 10
Registration SEC, Approved, 02/18/2005
AUM* 10,834,964,323 3.09%
of that, discretionary 10,834,964,323 3.09%
Private Fund GAV* 0
Avg Account Size 2,693,924 13.22%
% High Net Worth 4.63% -35.23%
SMA’s Yes
Private Funds 0
Contact Info 203 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Pension and profit sharing plans
- Charitable organizations
- Other investment advisers
- Corporations or other businesses not listed above
- Other

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

Discretionary
Non-discretionary
14B 12B 10B 8B 6B 4B 2B
2015 2016 2017 2018 2019 2020 2021 2022 2023

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker060505682 Stock NameBANK AMERICA CORP $ Position$58,953,176 % Position39.00% $ Change-5.00% # Change0.00%
Stck Ticker949746804 Stock NameWELLS FARGO CO NEW $ Position$43,588,823 % Position29.00% $ Change-48.00% # Change-44.00%
Stck Ticker33739E108 Stock NameFIRST TR EXCH TRADED FD III $ Position$40,531,359 % Position27.00% $ Change1071.00% # Change1098.00%
Stck Ticker33739P855 Stock NameFIRST TR EXCH TRADED FD III $ Position$6,867,362 % Position5.00% $ Change # Change

Brochure Summary