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FINANCIAL STRATEGIES, INC.
CRD 113097File 801-125921
APPROVED
Retail clients
Custody
Filing as of Sep 15, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$149.8M
Bottom 25% of cohort (national)
Discretionary AUM
$149.8M
Clients
199
560 accounts
Employees
7
Bottom 25% of cohort in WI
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jun 21, 2022
- Principal office
- 13555 BISHOPS COURT, SUITE 340, BROOKFIELD, WI, 53005
- Phone
- 262-821-1664
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $149.8M
- Discretionary AUM
- $149.8M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 560
- Non-discretionary accounts
- 0
- Total accounts
- 560
- AUM per client
- $753K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 19 | $55.9M |
| Individuals (other than high net worth individuals) | 180 | $93.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Sep 16, 2026 | Employees | 6 | 7 | increased by1 |
| Apr 1, 2026 | Employees | 5 | 6 | increased by1 |
| Apr 1, 2026 | Clients | 204 | 199 | decreased by5 |
| Apr 1, 2026 | AUM | $137,037,345 | $149,831,208 | increased by$12,793,863 |
| Apr 1, 2026 | Accounts | 554 | 560 | increased by6 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 6 | 5 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 161 | 204 | increased by43 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $121,313,174 | $137,037,345 | increased by$15,724,171 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 481 | 554 | increased by73 |
| Jul 1, 2022 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “FINANCIAL STRATEGIES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“FINANCIAL STRATEGIES” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.