Hedge Fund Database

STRATEGIC FINANCIAL SERVICES

STRATEGIC FINANCIAL SERVICES, INC. Legal Name

Adviser information for STRATEGIC FINANCIAL SERVICES last updated from Form ADV on March 27th, 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 New York, United States

Employees

Total Number of Employees 35
Investment Advisory/Research 20
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 19
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,109 $1.8B
Non-Discretionary 24 $136.5M
Total 3,133 $2.0B

Clients

Type Number RAUM
Individuals 415 $1.2B
HNW Individuals 714 $180.9M
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 59 $366.8M
Charitable organizations 8 $32.6M
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 33 $137.5M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1000

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services
Compensation % of AUM

Identifiers

SEC RIA File Number 801-33774
SEC ERA File Number 801-33774
SEC CIK Numbers 1432539
SEC CRD Numbers 109677
Legal Entity Identifier None

Principal Office

114 BUSINESS PARK DRIVE
UTICA
NY
United States
Monday - Friday, 8:30 AM - 4:30 PM
Tel: (315)724-1776, Fax: (315)735-7739

Websites

www.linkedin.com/company/strategic-financial-services/ www.facebook.com/investsfs www.instagram.com/strategictogether/ investstrategic.com/ www.youtube.com/user/topgun278 vimeo.com/sfsvideos

Chief Compliance Officer

KASEY WILLIAMS
COO
114 BUSINESS PARK
UTICA
NY
United States
Tel: 315-724-1776
Fax: 315-735-7739
(Full email address available in API data)

Regulatory Contact

ALAN LEIST, III
CEO
114 BUSINESS PARK DRIVE
UTICA
NY
United States
Tel: 315 724 1776
Fax: 315-735-7739
(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
VICKS-SWEET, JUDITH Individual – PRESIDENT 10/1988 5-10%
LEIST, ALAN, REMY Individual – CEO 05/2019 50-75%
WILLIAMS, KASEY, JOHN Individual – CHIEF COMPLIANCE OFFICER 07/2011 5-10%
WALTERS, DOUGLAS, SCOTT Individual – CHIEF INVESTMENT OFFICER 06/2014 5-10%
EVANS, AARON, R Individual – SENIOR ADVISOR 10/2018 5-10%

No. Employees, Historic

40200201920202021202220232024202528 on 5/28/201928 on 6/7/201928 on 8/7/201932 on 3/31/202032 on 6/22/202035 on 3/31/202135 on 2/2/202235 on 2/15/202233 on 3/31/202233 on 7/6/202233 on 11/8/202235 on 3/31/202335 on 8/15/202335 on 11/17/202335 on 3/27/2024

RAUM, Historic

2B1B020192020202120222023202420251158054078 on 5/28/20191158054078 on 6/7/20191158054078 on 8/7/20191359945114 on 3/31/20201359945114 on 6/22/20201582080593 on 3/31/20211582080593 on 2/2/20221582080593 on 2/15/20221848073650 on 3/31/20221848073650 on 7/6/20221848073650 on 11/8/20221662924875 on 3/31/20231662924875 on 8/15/20231662924875 on 11/17/20231964371550 on 3/27/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025983 on 5/28/2019983 on 6/7/2019983 on 8/7/20191029 on 3/31/20201029 on 6/22/20201057 on 3/31/20211057 on 2/2/20221057 on 2/15/20221109 on 3/31/20221109 on 7/6/20221109 on 11/8/20221168 on 3/31/20231168 on 8/15/20231168 on 11/17/20231229 on 3/27/2024

Holdings

From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 536K 5K 0
ABBVIE INC COM 661K 4K 0
ALLSTATE CORP COM 219K 1K 0
ALPHABET INC CAP STK CL A 2M 8K 0
ALPHABET INC CAP STK CL C 7M 36K 0
ALPS ETF TR MED BREAKTHGH 636K 19K 0
AMAZON COM INC COM 2M 10K 0
APPLE INC COM 15M 73K 0
ASML HOLDING N V N Y REGISTRY SHS 360K 352 0
AUTOMATIC DATA PROCESSING IN COM 619K 3K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 2M 4K 0
BLACKROCK INC COM 3M 4K 0
BOOKING HOLDINGS INC COM 2M 473 0
CHEVRON CORP NEW COM 455K 3K 0
CHIPOTLE MEXICAN GRILL INC COM 313K 5K 0
CHUBB LIMITED COM 485K 2K 0
CISCO SYS INC COM 1M 29K 0
COCA COLA CO COM 334K 5K 0
COLGATE PALMOLIVE CO COM 263K 3K 0
COMMUNITY FINANCIAL SYSTEM I COM 457K 10K 0
CONMED CORP COM 695K 10K 0
CONOCOPHILLIPS COM 267K 2K 0
CONSTELLATION BRANDS INC CL A 308K 1K 0
COSTCO WHSL CORP NEW COM 3M 3K 0
CSX CORP COM 388K 12K 0
DEERE & CO COM 779K 2K 0
DIMENSIONAL ETF TRUST US TARGETED VLU 556K 11K 0
DIMENSIONAL ETF TRUST INTERNATNAL VAL 29M 820K 0
DIMENSIONAL ETF TRUST US MKTWIDE VALUE 390K 10K 0
DISNEY WALT CO COM 324K 3K 0
DOLLAR TREE INC COM 815K 8K 0
ELEVANCE HEALTH INC COM 1M 2K 0
ELI LILLY & CO COM 521K 575 0
EXXON MOBIL CORP COM 3M 23K 0
GE AEROSPACE COM NEW 688K 4K 0
GE HEALTHCARE TECHNOLOGIES I COMMON STOCK 233K 3K 0
GOLDMAN SACHS ETF TR ACTIVEBETA US LG 9M 84K 0
GOLDMAN SACHS ETF TR ACTIVEBETA EME 8M 238K 0
GOLDMAN SACHS ETF TR ACTIVEBETA INT 32M 941K 0
GOLDMAN SACHS ETF TR ACTIVEBETA US 3M 46K 0
GOLDMAN SACHS GROUP INC COM 468K 1K 0
HERSHEY CO COM 229K 1K 0
HOME DEPOT INC COM 483K 1K 0
HONEYWELL INTL INC COM 2M 7K 0
IDEXX LABS INC COM 442K 908 0
ILLINOIS TOOL WKS INC COM 307K 1K 0
IMMUCELL CORP COM PAR 150K 31K 0
INTERNATIONAL BUSINESS MACHS COM 821K 5K 0
ISHARES INC CORE MSCI EMKT 511K 10K 0
ISHARES INC EMNG MKTS EQT 82M 2M 0
ISHARES TR MSCI USA VALUE 18M 174K 0
ISHARES TR MSCI USA MMENTM 42M 214K 0
ISHARES TR INTL EQTY FACTOR 227M 8M 0
ISHARES TR U S EQUITY FACTR 239M 4M 0
ISHARES TR US SML CAP EQT 231M 4M 0
ISHARES TR INTRM GOV CR ETF 125M 1M 0
ISHARES TR ISHS 1-5YR INVS 1M 26K 0
ISHARES TR JPMORGAN USD EMG 682K 8K 0
ISHARES TR RUS 1000 GRW ETF 2M 4K 0
ISHARES TR RUSSELL 2000 ETF 549K 3K 0
ISHARES TR CORE S&P US VLU 505K 6K 0
J P MORGAN EXCHANGE TRADED F US MOMENTUM 2M 31K 0
JOHNSON & JOHNSON COM 2M 11K 0
JPMORGAN CHASE & CO. COM 6M 28K 0
KLA CORP COM NEW 5M 6K 0
LAM RESEARCH CORP COM 5M 4K 0
M & T BK CORP COM 2M 15K 0
MASTERCARD INCORPORATED CL A 791K 2K 0
MCDONALDS CORP COM 208K 815 0
MCKESSON CORP COM 4M 7K 0
MERCK & CO INC COM 3M 24K 0
META PLATFORMS INC CL A 734K 1K 0
MICROSOFT CORP COM 7M 16K 0
MONDELEZ INTL INC CL A 1M 17K 0
MORGAN STANLEY COM NEW 494K 5K 0
NEXTERA ENERGY INC COM 3M 36K 0
NIKE INC CL B 355K 5K 0
NORWOOD FINANCIAL CORP COM 616K 24K 0
NOVO-NORDISK A S ADR 342K 2K 0
NVIDIA CORPORATION COM 1M 10K 0
NXP SEMICONDUCTORS N V COM 4M 13K 0
ORACLE CORP COM 4M 31K 0
PEPSICO INC COM 3M 17K 0
PFIZER INC COM 237K 8K 0
PHILLIPS 66 COM 846K 6K 0
PPG INDS INC COM 217K 2K 0
PROCTER AND GAMBLE CO COM 1M 7K 0
PUBLIC STORAGE OPER CO COM 545K 2K 0
QUALCOMM INC COM 4M 20K 0
RTX CORPORATION COM 322K 3K 0
SCHWAB CHARLES CORP COM 456K 6K 0
SKYWORKS SOLUTIONS INC COM 931K 9K 0
SOUTHERN CO COM 220K 3K 0
SPDR GOLD TR GOLD SHS 11M 52K 0
SPDR S&P 500 ETF TR TR UNIT 914K 2K 0
SPDR SER TR PORTFOLIO LN TSR 243K 9K 0
SPDR SER TR S&P BIOTECH 23M 245K 0
TESLA INC COM 1M 7K 0
TJX COS INC NEW COM 1M 13K 0
TOMPKINS FINL CORP COM 249K 5K 0
TRAVELERS COMPANIES INC COM 271K 1K 0
ULTA BEAUTY INC COM 2M 4K 0
UNITEDHEALTH GROUP INC COM 3M 6K 0
VANECK ETF TRUST BIOTECH ETF 209K 1K 0
VANGUARD INDEX FDS SMALL CP ETF 564K 3K 0
VANGUARD INDEX FDS GROWTH ETF 849K 2K 0
VANGUARD INDEX FDS SML CP GRW ETF 311K 1K 0
VANGUARD INDEX FDS MCAP GR IDXVIP 524K 2K 0
VANGUARD INDEX FDS TOTAL STK MKT 2M 8K 0
VANGUARD INDEX FDS MID CAP ETF 373K 2K 0
VANGUARD INDEX FDS SM CP VAL ETF 212K 1K 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 503K 12K 0
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 269K 5K 0
VANGUARD MUN BD FDS TAX EXEMPT BD 242K 5K 0
VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 209K 850 0
VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 949K 12K 0
VANGUARD SCOTTSDALE FDS INT-TERM CORP 70M 877K 0
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 104M 1M 0
VANGUARD SCOTTSDALE FDS INTER TERM TREAS 326K 6K 0
VANGUARD SCOTTSDALE FDS LONG TERM TREAS 38M 661K 0
VANGUARD SPECIALIZED FUNDS DIV APP ETF 1M 7K 0
VANGUARD STAR FDS VG TL INTL STK F 2M 26K 0
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 750K 15K 0
VANGUARD WELLINGTON FD US MOMENTUM 42M 280K 0
VANGUARD WHITEHALL FDS EM MK GOV BD ETF 22M 352K 0
VANGUARD WORLD FD EXTENDED DUR 209K 3K 0
VERIZON COMMUNICATIONS INC COM 282K 7K 0
VISA INC COM CL A 5M 18K 0
WALMART INC COM 412K 6K 0
WASTE MGMT INC DEL COM 301K 1K 0
WORLD GOLD TR SPDR GLD MINIS 75M 2M 0