FINANCIAL STRATEGIES, INC.
Adviser information for FINANCIAL STRATEGIES, INC. last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Wisconsin, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 547 | $131.7M |
| Non-Discretionary | 0 | $0 |
| Total | 547 | $131.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 163 | $72.8M |
| HNW Individuals | 21 | $58.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-125921 |
|---|---|
| SEC ERA File Number | 801-125921 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 113097 |
| Legal Entity Identifier | None |
Principal Office
13555 BISHOPS COURTSUITE 340
BROOKFIELD
WI
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 262-821-1664, Fax: 262-821-0762
Chief Compliance Officer
JAMES CANTRELL
PRESIDENT
13555 BISHOPS COURT
SUITE 340
BROOKFIELD
WI
United States
Tel:
262-821-1664
Fax:
262-821-0762
J**@**********************M
(Full email address available in API data)
Regulatory Contact
JENNIFER BRODZIK
13555 BISHOPS COURT
SUITE 340
BROOKFIELD
WI
United States
Tel:
262-821-1664
Fax:
262-821-0762
J****@**********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CANTRELL, JAMES, DOUGLAS | Individual | – | PRESIDENT / CHIEF COMPLIANCE OFFICER | 03/1993 | > 75% |