AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $1,075.9 |
Non-Discretionary | $22.9 |
Total | $1,098.8 |
Client | AUM |
---|---|
Retail | $82.8 |
Pooled | $1,009.7 |
Institutional | $6.3 |
Total | $1,098.8 |
Retail | Accounts | AUM |
---|---|---|
Individual | 243,873 | $47.0 |
Average Individual AUM | $192,568 | |
HNW | 56,938 | $35.9 |
Average HNW AUM | $629,814 | |
Retail Total | 300,811 | $82.8 |
Average Retail AUM | $275,331 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|---|---|
CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $88.6 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $89.2 |
Retail SMA AUM | $82.8 |
Institutional SMA AUM | $6.3 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 22% | $19.6 |
Equity Non-Exch | 1% | $0.9 |
Govt Agency | 2% | $1.8 |
Municipal | 16% | $14.3 |
Sovereign | 0% | $0.0 |
IG Credit | 5% | $4.5 |
HY Credit | 0% | $0.0 |
Derivatives | 0% | $0.0 |
Investment Companies | 51% | $45.5 |
Other Pools | 2% | $1.8 |
Cash | 1% | $0.9 |
Other | 0% | $0.0 |
Total | 100% | $89.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates | AUM | Business Types | CRD Number |
---|---|---|---|
TD AMERITRADE CLEARING, INC. | $0.0 | broker-dealer | 5633 |
TD AMERITRADE, INC. | $0.0 | broker-dealer | 7870 |
CHARLES SCHWAB PREMIER BANK | $0.0 | - | |
CHARLES SCHWAB & CO., INC. | $0.0 | broker-dealer | 5393 |
CHARLES SCHWAB BANK | $0.0 | - | |
SCHWAB WEALTH ADVISORY, INC. | $0.0 | 159035 | |
CHARLES SCHWAB TRUST COMPANY | $0.0 | trust company | - |
CHARLES SCHWAB TRUST BANK | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
9 active
Name | Title |
---|---|
WURSTER, RICHARD, A | DIRECTOR |
AGUILAR CHAVEZ, OMAR | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHIEF INVESTMENT OFFICER |
CRAWFORD, PETER, BROOKS | DIRECTOR |
FISCHER, MARK, DICKHUT | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER |
MCMAHON, WILLIAM, PATRICK | CHIEF INVESTMENT OFFICER |
MACGREGOR, CATHERINE, MARGARET | CHIEF LEGAL OFFICER |
SEIDLITZ, JESSICA, ANN | CHIEF COMPLIANCE OFFICER |
CASSIDY, PATRICK, S | CHIEF INVESTMENT OFFICER |
ADVDB.CO • SOURCE: SEC
40 active representatives found, showing 20 random
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
MICHAEL MORIN | SAN FRANCISCO | CA | S63|2001-01-10|S65|2012-05-21 | ||||||
MATHEW PETTY | SAN FRANCISCO | CA | S66|2009-10-22 | CHARTERED FINANCIAL ANALYST | |||||
LANDON WRIEDT | SAN FRANCISCO | CA | S66|2019-03-04 | ||||||
JAMES SERHANT | SAN FRANCISCO | CA | S63|1995-11-28 | CHARTERED FINANCIAL ANALYST | |||||
CONNOR JACOBS | SAN FRANCISCO | CA | S63|2022-09-02 | CHARTERED FINANCIAL ANALYST | |||||
BRENDAN KERR | SAN FRANCISCO | CA | S65|2015-11-23 | CHARTERED FINANCIAL ANALYST | |||||
VIRAJ DESAI | SAN FRANCISCO | CA | CHARTERED FINANCIAL ANALYST | ||||||
JOHN MAJOROS | SAN FRANCISCO | CA | S63|1991-11-04 | ||||||
JESSE RENDA | SAN FRANCISCO | CA | S65|2019-06-13 | ||||||
NICHOLAS GLENN | SAN FRANCISCO | CA | S63|2006-07-28|S66|2010-07-27 | ||||||
STACIE LEE | SAN FRANCISCO | CA | S66|2009-03-10 | ||||||
ELIZABETH MCHUGH | SAN FRANCISCO | CA | CERTIFIED FINANCIAL PLANNER | ||||||
DANIEL GRIFFITH | SAN FRANCISCO | CA | S65|2019-09-23 | ||||||
RUSSELL OW | SAN FRANCISCO | CA | S66|2007-11-26 | CHARTERED FINANCIAL ANALYST | |||||
JAMES STATEN | SAN FRANCISCO | CA | S66|2009-12-11 | CERTIFIED FINANCIAL PLANNER | |||||
JONATHAN HANNA | SAN FRANCISCO | CA | CHARTERED FINANCIAL ANALYST | ||||||
TESS PAPAZIAN | SAN FRANCISCO | CA | S65|2017-07-10 | ||||||
GREGORY THOMAS | SAN FRANCISCO | CA | S63|1991-12-13|S65|2001-06-06 | ||||||
BRIAN DIXON | SAN FRANCISCO | CA | S65|2009-12-07 | CHARTERED FINANCIAL ANALYST | |||||
MATTHEW GUGLIEMINI | SAN FRANCISCO | CA | S66|2008-09-24 | CHARTERED FINANCIAL ANALYST |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2024-10-01 | $1,098.8 | $0.0 | 0% | 857 | 0 | 0% |
2024-04-02 | $1,098.8 | $0.0 | 0% | 857 | 0 | 0% |
2023-04-04 | $782.6 | $316.2 | 40% | 1,007 | -150 | -15% |
2022-04-01 | $700.8 | $398.0 | 57% | 886 | -29 | -3% |
2021-04-05 | $609.9 | $488.9 | 80% | 782 | 75 | 10% |
2020-04-01 | $506.3 | $592.5 | 117% | 538 | 319 | 59% |
2019-04-01 | $379.3 | $719.5 | 190% | 492 | 365 | 74% |
2018-04-02 | $360.7 | $738.1 | 205% | 423 | 434 | 103% |
2017-04-01 | $302.2 | $796.6 | 264% | 360 | 497 | 138% |
2016-04-01 | $280.2 | $818.6 | 292% | 314 | 543 | 173% |
2015-04-01 | $267.5 | $831.3 | 311% | 204 | 653 | 320% |
2014-04-01 | $248.5 | $850.3 | 342% | 200 | 657 | 328% |
2013-04-01 | $224.5 | $874.3 | 390% | 200 | 657 | 328% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
CA, AK-10/02/2003, AL-10/02/2003, AR-10/07/2003, AZ-10/02/2003, CA-10/02/2003, CO-10/02/2003, CT-10/02/2003, DC-10/02/2003, DE-11/07/2003, FL-10/06/2003, GA-10/02/2003, HI-10/02/2003, IA-10/02/2003, ID-10/02/2003, IL-11/05/2003, IN-10/02/2003, KS-10/02/2003, KY-10/02/2003, LA-10/02/2003, MA-10/02/2003, MD-10/02/2003, ME-10/02/2003, MI-10/02/2003, MN-10/28/2003, MO-10/02/2003, MS-10/02/2003, MT-10/02/2003, NC-10/02/2003, ND-10/02/2003, NE-10/02/2003, NH-10/02/2003, NJ-10/29/2003, NM-10/02/2003, NV-10/02/2003, NY-10/02/2003, OH-10/02/2003, OK-10/02/2003, OR-10/02/2003, PA-10/02/2003, PR-10/02/2003, RI-10/02/2003, SC-10/02/2003, SD-10/02/2003, TN-10/06/2003, TX-10/02/2003, UT-10/02/2003, VA-10/02/2003, VI-03/28/2013, VT-10/02/2003, WA-10/02/2003, WI-10/02/2003, WV-10/02/2003, WY-03/30/2018 |
ADVISER ACTIVITIES |
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
OTHER ACTIVITIES |
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV