FINANCIAL MANAGEMENT STRATEGIES, INC.
Adviser information for FINANCIAL MANAGEMENT STRATEGIES, INC. last updated from Form ADV on March 28th, 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 | Ohio, United States |
Employees
| Total Number of Employees | 34 |
|---|---|
| Investment Advisory/Research | 23 |
| Registered Broker-Dealer Representatives | 23 |
| Registered State Investment Advisers | 23 |
| Licensed Agents of an Insurance Company | 22 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,426 | $433.0M |
| Non-Discretionary | 240 | $109.0M |
| Total | 1,666 | $542.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,166 | $210.5M |
| HNW Individuals | 464 | $252.7M |
| 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 | 7 | $58.8M |
| Charitable organizations | <5 | $1.7M |
| 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 | 25 | $18.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 60 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-66641 |
|---|---|
| SEC ERA File Number | 801-66641 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 120818 |
| Legal Entity Identifier | None |
Principal Office
9200 SOUTH HILLS BLVD.SUITE 310
BROADVIEW HTS.
OH
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 216-642-1099, Fax: 216-642-1186
Websites
Chief Compliance Officer
JENNIFER L. SOLTIS
CHIEF COMPLIANCE OFFICER
9200 SOUTH HILLS BLVD.
SUITE 310
BROADVIEW HTS.
OH
United States
Tel:
216-642-8042
Fax:
216-642-1186
J******@*********M
(Full email address available in API data)
Regulatory Contact
JEFFREY C. KNOX
PRESIDENT
9200 SOUTH HILLS BLVD.
SUITE 310
BROADVIEW HTS.
OH
United States
Tel:
216-642-2450
Fax:
216-642-1186
J****@***************Z
(Full email address available in API data)
Industry Affiliates
| PLANCORP, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CAMILLO, CARL, JOSEPH | Individual | – | INVESTMENT ADVISER REPRESENTATIVE | 01/2024 | 5-10% |
| KNOX, JEFFREY, CHARLES | Individual | – | PRESIDENT | 11/1999 | 50-75% |
| ELLIOTT, CHARLES, BRIAN | Individual | – | VICE PRESIDENT - PORTFOLIO MANAGEMENT & FINANCIAL PLANNING | 01/2011 | 10-25% |
| SOLTIS, JENNIFER, LYNN | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2016 | < 5% |
| NOVACK, GEOFFREY, FRANCIS | Individual | – | INVESTMENT ADVISER REPRESENTATIVE | 01/2024 | 5-10% |
| ELLINGER, VICTORIA, LOUISE | Individual | – | INVESTMENT ADVISER REPRESENTATIVE | 01/2024 | 5-10% |
| LINDEN, AUSTIN, JOHN | Individual | – | INVESTMENT ADVISER REPRESENTATIVE | 01/2024 | 5-10% |
| LANE, DANIEL, JOSEPH | Individual | – | INVESTMENT ADVISOR REPRESENTITIVE | 01/2024 | 5-10% |