Adviser Profile

As of Date 06/26/2026
Registration SEC, Approved, 02/15/2007
ADV Location CHAPPAQUA, NY, United States
Contact Info 914 xxxxxxx
Websites
AUM* 490,543,706 35%
of that, discretionary 445,267,272 36%
Number of Employees 13 8%
of those in investment advisory functions 8
Private Fund GAV* 0
Avg Account Size 380,561 34%
% High Net Worth 22.43% 21%
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

Compensation Arrangments

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

Reported AUM

445M 382M 318M 254M 191M 127M 64M
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

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Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker037833100 Stock NameAPPLE INC $ Position$8,607,366 % Position3.00% $ Change-17.00% # Change-12.00%
Stck Ticker921078101 Stock NameVANECK MERK GOLD ETF $ Position$7,969,624 % Position3.00% $ Change3.00% # Change-5.00%
Stck Ticker78462F103 Stock NameSTATE STR SPDR S&P 500 ETF T $ Position$5,912,699 % Position2.00% $ Change-2.00% # Change3.00%
Stck Ticker78463V107 Stock NameSPDR GOLD TR $ Position$4,842,076 % Position2.00% $ Change11.00% # Change2.00%
Stck Ticker084670702 Stock NameBERKSHIRE HATHAWAY INC DEL $ Position$4,249,785 % Position2.00% $ Change-8.00% # Change-3.00%
Stck Ticker46434V621 Stock NameISHARES TR $ Position$4,723,206 % Position2.00% $ Change-1.00% # Change-2.00%
Stck Ticker464289438 Stock NameISHARES TR $ Position$4,633,168 % Position2.00% $ Change-5.00% # Change5.00%
Stck Ticker464287499 Stock NameISHARES TR $ Position$3,595,538 % Position1.00% $ Change-21.00% # Change-22.00%
Stck Ticker46090E103 Stock NameINVESCO QQQ TR $ Position$2,665,600 % Position1.00% $ Change-9.00% # Change-3.00%
Stck Ticker46137V357 Stock NameINVESCO EXCHANGE TRADED FD T $ Position$3,741,173 % Position1.00% $ Change150.00% # Change149.00%

Brochure Summary