Adviser Profile

As of Date 07/01/2026
Registration SEC, Approved, 06/04/1973
Contact Info 203 xxxxxxx
Websites
AUM* 659,181,861 27%
of that, discretionary 659,181,861 35%
Number of Employees 3 -25%
of those in investment advisory functions 3
Private Fund GAV* 0
Avg Account Size 622,457 -54%
% High Net Worth 51.59% 4%
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
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

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

Reported AUM

521M 447M 372M 298M 223M 149M 74M
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 Ticker78462F103 Stock NameSTATE STR SPDR S&P 500 ETF T $ Position$158,194,779 % Position32.00% $ Change14.00% # Change-1.00%
Stck Ticker037833100 Stock NameAPPLE INC $ Position$44,392,313 % Position9.00% $ Change14.00% # Change0.00%
Stck Ticker594918104 Stock NameMICROSOFT CORP $ Position$29,184,791 % Position6.00% $ Change1.00% # Change1.00%
Stck Ticker46090E103 Stock NameINVESCO QQQ TR $ Position$20,675,166 % Position4.00% $ Change23.00% # Change-4.00%
Stck Ticker78467X109 Stock NameSTATE STR SPDR DOW JONES IND $ Position$13,005,944 % Position3.00% $ Change13.00% # Change0.00%
Stck Ticker92826C839 Stock NameVISA INC $ Position$15,867,911 % Position3.00% $ Change13.00% # Change0.00%
Stck Ticker46625H100 Stock NameJPMORGAN CHASE & CO $ Position$8,029,611 % Position2.00% $ Change12.00% # Change1.00%
Stck Ticker464287432 Stock NameISHARES TR $ Position$9,906,584 % Position2.00% $ Change13.00% # Change13.00%
Stck Ticker713448108 Stock NamePEPSICO INC $ Position$7,629,758 % Position2.00% $ Change-14.00% # Change-2.00%
Stck Ticker67066G104 Stock NameNVIDIA CORPORATION $ Position$7,667,249 % Position2.00% $ Change15.00% # Change0.00%

Brochure Summary