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AWM FINANCIAL SERVICES INC.
CRD 144351File 801-120940
APPROVED
Retail clients
Filing as of Mar 20, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$320.6M
Below cohort median (national)
Discretionary AUM
$320.6M
Clients
209
2,700 accounts
Employees
19
Below cohort median in TX
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Apr 23, 2021
- Principal office
- 9595 SIX PINES DRIVE, BUILDING 4 SUITE 4230, THE WOODLANDS, TX, 77380
- Phone
- 281-444-7555
- Website
- HTTP://WWW.ALLIEDWEALTH.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $320.6M
- Discretionary AUM
- $320.6M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 2,700
- Non-discretionary accounts
- 0
- Total accounts
- 2,700
- AUM per client
- $1.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $3.2M |
| Other investment advisers | 4 | $3.5M |
| High net worth individuals | 42 | $74.1M |
| Individuals (other than high net worth individuals) | 158 | $239.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Hourly charges
- Other (described) — ADMINISTRATIVE AND TECHNOLOGY FEE
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- 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 |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 15 | 19 | increased by4 |
| Apr 1, 2026 | Clients | 1,345 | 209 | decreased by1,136 |
| Apr 1, 2026 | AUM | $233,714,026 | $320,578,704 | increased by$86,864,678 |
| Apr 1, 2026 | Accounts | 1,345 | 2,700 | increased by1,355 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 11 | 15 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 732 | 1,345 | increased by613 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $180,423,211 | $233,714,026 | increased by$53,290,815 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,453 | 1,345 | decreased by1,108 |
| Feb 1, 2022 | Clients | 478 | 732 | increased by254 |
| Feb 1, 2022 | AUM | $121,081,714 | $180,423,211 | increased by$59,341,497 |
| Feb 1, 2022 | Accounts | 1,201 | 2,453 | increased by1,252 |
| Jun 1, 2021 | Employees | 13 | 11 | decreased by2 |
| May 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “AWM FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“AWM FINANCIAL” 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.