Hedge Fund Database

FINANCIAL SERVICES ADVISORY

FINANCIAL SERVICES ADVISORY INC Legal Name

Adviser information for FINANCIAL SERVICES ADVISORY last updated from Form ADV on March 19th, 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 Maryland, United States

Employees

Total Number of Employees 16
Investment Advisory/Research 9
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 9
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 1,981 $693.7M
Non-Discretionary 0 $0
Total 1,981 $693.7M

Clients

Type Number RAUM
Individuals 516 $191.1M
HNW Individuals 198 $474.3M
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 5 $27.1M
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 <5 $1.2M
Other 0 $0
Type Number
No. of Non-RAUM Clients 5
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-18801
SEC ERA File Number 801-18801
SEC CIK Numbers 1731221
SEC CRD Numbers 104513
Legal Entity Identifier None

Principal Office

ONE CHURCH STREET
SUITE 901
ROCKVILLE
MD
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 301-949-7300, Fax: 301-949-7034

Websites

www.fsainvest.com www.facebook.com/fsainvest twitter.com/fsainvest www.linkedin.com/company/financial-services-adv www.youtube.com/channel/ucczby3cnequthjipb92ecmg

Chief Compliance Officer

JAMES E. JOSEPH
PRESIDENT
ONE CHURCH STREET
SUITE 901
ROCKVILLE
MD
United States
Tel: 301-949-7300
Fax: 301-949-7034
(Full email address available in API data)

Regulatory Contact

KIM DONOHUE
OPERATIONS/COMPLIANCE MANAGER
ONE CHURCH STREET
SUITE 901
ROCKVILLE
MD
United States
Tel: 301-949-7300
Fax: 301-949-7034
(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
PETERSEN, DAVID, RONALD Individual – FOUNDING PARTNER 01/2021 < 5%
JOSEPH, JAMES, EDWARD Individual – PRESIDENT/TREASURER CHIEF COMPLIANCE OFFICER & PARTNER 01/2021 50-75%
ROUGH, RONALD, JAMES Individual – CHIEF INVESTMENT OFFICER & PARTNER 01/2021 25-50%
Donohue, Kim, Marie Individual – SECRETARY 01/2020 < 5%

No. Employees, Historic

2010020202021202220232024202512 on 1/8/202012 on 1/9/202012 on 1/17/202012 on 6/25/202014 on 3/16/202114 on 7/1/202114 on 7/21/202113 on 3/18/202213 on 7/8/202213 on 11/22/202213 on 11/30/202213 on 3/21/202313 on 9/27/202313 on 9/27/202316 on 3/19/2024

RAUM, Historic

900M450M0202020212022202320242025645980603 on 1/8/2020645980603 on 1/9/2020645980603 on 1/17/2020645980603 on 6/25/2020726914646 on 3/16/2021726914646 on 7/1/2021726914646 on 7/21/2021842896540 on 3/18/2022842896540 on 7/8/2022842896540 on 11/22/2022842896540 on 11/30/2022707792446 on 3/21/2023707792446 on 9/27/2023707792446 on 9/27/2023693702744 on 3/19/2024

No. Clients, Historic

8004000202020212022202320242025722 on 1/8/2020722 on 1/9/2020722 on 1/17/2020722 on 6/25/2020785 on 3/16/2021785 on 7/1/2021785 on 7/21/2021790 on 3/18/2022790 on 7/8/2022790 on 11/22/2022790 on 11/30/2022774 on 3/21/2023774 on 9/27/2023774 on 9/27/2023719 on 3/19/2024

Holdings

From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMERICAN AIRLS GROUP INC COM 1M 111K –
CAPITAL GROUP DIVIDEND VALUE SHS CREATION UNI 52K 2K Schaeffer Financial LLC
CAPITAL GROUP DIVIDEND VALUE SHS CREATION UNI 15M 450K –
DBX ETF TR XTRCKR MSCI US 385K 8K –
DIREXION SHS ETF TR AUSPCE CMD STG 522K 18K Schaeffer Financial LLC
DIREXION SHS ETF TR AUSPCE CMD STG 5M 166K –
FIDELITY COMWLTH TR NASDAQ COMPSIT 2M 27K –
FIRST TR EXCHANGE TRAD FD VI FST TR GLB FD 388K 16K Schaeffer Financial LLC
FIRST TR EXCHANGE TRAD FD VI FST TR GLB FD 6M 242K –
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 806K 15K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 365K 8K Schaeffer Financial LLC
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 15M 333K –
INNOVATOR ETFS TRUST US EQTY PWR BUF 76K 2K Schaeffer Financial LLC
INNOVATOR ETFS TRUST US EQTY PWR BUF 6M 152K –
INVESCO EXCHANGE TRADED FD T S&P 500 TOP 50 2M 51K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 938K 6K Schaeffer Financial LLC
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 11M 65K –
INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 530K 8K Schaeffer Financial LLC
INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 15K 243 –
INVESCO EXCHANGE TRADED FD T WATER RES ETF 882K 14K –
ISHARES INC MSCI JPN ETF NEW 794K 12K –
ISHARES TR CHINA LG-CAP ETF 401K 15K –
ISHARES TR CORE S&P500 ETF 54K 99 Schaeffer Financial LLC
ISHARES TR CORE S&P500 ETF 6M 11K –
ISHARES TR CORE US AGGBD ET 745K 8K –
ISHARES TR IBOXX HI YD ETF 997K 13K Schaeffer Financial LLC
ISHARES TR IBOXX HI YD ETF 11M 148K –
ISHARES TR MSCI ACWI ETF 26K 230 Schaeffer Financial LLC
ISHARES TR MSCI ACWI ETF 2M 18K –
ISHARES TR MSCI EAFE ETF 1M 16K –
ISHARES TR MSCI EMG MKT ETF 850K 20K –
ISHARES TR MSCI KLD400 SOC 3M 26K –
ISHARES TR MSCI USA ESG SLC 2M 16K –
ISHARES TR MSCI USA QLT FCT 54K 316 Schaeffer Financial LLC
ISHARES TR MSCI USA QLT FCT 4M 24K –
ISHARES TR RUS 1000 ETF 3M 10K Schaeffer Financial LLC
ISHARES TR RUS 1000 ETF 14M 47K –
ISHARES TR RUSSELL 2000 ETF 1M 7K –
ISHARES TR RUSSELL 3000 ETF 3M 11K –
ISHARES TR S&P 100 ETF 4M 15K Schaeffer Financial LLC
ISHARES TR S&P 100 ETF 24M 91K –
ISHARES TR U.S. TECH ETF 56K 374 Schaeffer Financial LLC
ISHARES TR U.S. TECH ETF 796K 5K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 917K 16K Schaeffer Financial LLC
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 11M 188K –
J P MORGAN EXCHANGE TRADED F US QUALTY FCTR 3M 56K Schaeffer Financial LLC
J P MORGAN EXCHANGE TRADED F US QUALTY FCTR 17M 330K –
MICRON TECHNOLOGY INC COM 210K 2K –
PACER FDS TR TRENDPILOT 100 2M 23K –
SCHWAB STRATEGIC TR US BRD MKT ETF 985K 16K Schaeffer Financial LLC
SCHWAB STRATEGIC TR US BRD MKT ETF 11M 182K –
SCHWAB STRATEGIC TR US LCAP GR ETF 4M 36K Schaeffer Financial LLC
SCHWAB STRATEGIC TR US LCAP GR ETF 20M 202K –
SELECT SECTOR SPDR TR COMMUNICATION 2M 27K –
SELECT SECTOR SPDR TR FINANCIAL 62K 2K Schaeffer Financial LLC
SELECT SECTOR SPDR TR FINANCIAL 856K 21K –
SELECT SECTOR SPDR TR TECHNOLOGY 2M 7K –
SPDR GOLD TR GOLD SHS 479K 2K –
SPDR S&P 500 ETF TR TR UNIT 5M 9K Schaeffer Financial LLC
SPDR S&P 500 ETF TR TR UNIT 41M 75K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 825K 2K –
SPDR SER TR BLOOMBERG HIGH Y 797K 8K Schaeffer Financial LLC
SPDR SER TR BLOOMBERG HIGH Y 9M 99K –
SPDR SER TR DJ REIT ETF 201K 2K –
SPDR SER TR PRTFLO S&P500 GW 2M 25K Schaeffer Financial LLC
SPDR SER TR PRTFLO S&P500 GW 22M 278K –
SPDR SER TR S&P 500 ESG ETF 3M 51K –
UNITED STS 12 MONTH NAT GAS UNIT BEN INT 463K 56K –
VANECK ETF TRUST FALLEN ANGEL HG 215K 8K Schaeffer Financial LLC
VANECK ETF TRUST FALLEN ANGEL HG 1M 37K –
VANECK ETF TRUST SEMICONDUCTR ETF 55K 211 Schaeffer Financial LLC
VANECK ETF TRUST SEMICONDUCTR ETF 787K 3K –
VANGUARD INDEX FDS GROWTH ETF 42K 112 Schaeffer Financial LLC
VANGUARD INDEX FDS GROWTH ETF 15M 41K –
VANGUARD INDEX FDS REAL ESTATE ETF 789K 9K –
VANGUARD INDEX FDS S&P 500 ETF SHS 16M 31K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 261K 5K –
VANGUARD WORLD FD MEGA CAP INDEX 3M 15K Schaeffer Financial LLC
VANGUARD WORLD FD MEGA CAP INDEX 16M 79K –
VICTORY PORTFOLIOS II CORE INTERMEDIAT 968K 21K –
WISDOMTREE TR FLOATNG RAT TREA 397K 8K –