# AM Investment Strategies, LLC

> AM Investment Strategies, LLC is an SEC-registered investment advisory firm in Chattanooga, TN, registered since 2012, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated February 11, 2026.

- CRD: 165823
- Filed as: AM INVESTMENT STRATEGIES, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Chattanooga, TN
- Filing period: October 2026
- Form ADV filing dated: February 11, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/165823
- AdvisorCensus page: https://advisorcensus.com/firm/am-investment-strategies-llc-chattanooga-tn-165823

## Quick answers

**How is AM Investment Strategies, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), AM Investment Strategies, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Where is AM Investment Strategies, LLC located?**
AM Investment Strategies, LLC's principal office is in Chattanooga, TN, according to its Form ADV.

**Is AM Investment Strategies, LLC registered with the SEC or a state?**
AM Investment Strategies, LLC is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 165823.

**How much does AM Investment Strategies, LLC manage?**
AM Investment Strategies, LLC reports $738,424,273 in regulatory assets under management in its Form ADV filing dated February 11, 2026 (80% discretionary).

**How have AM Investment Strategies, LLC's assets and staff changed since 2021?**
In the Form ADV data for AM Investment Strategies, LLC: Regulatory assets under management: $504,848,305 in the October 2021 data and $738,424,273 in the October 2026 data, up 46%. Total employees: 5 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does AM Investment Strategies, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (436); high net worth individuals (140).

**Which custodians does AM Investment Strategies, LLC use?**
AM Investment Strategies, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets.

**Does AM Investment Strategies, LLC report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation) and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/165823

**What changed in AM Investment Strategies, LLC's recent Form ADV filings?**
In the January 2026 filing data: No longer registered or notice-filed in SC.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Fidelity Brokerage Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $738,424,273
- Discretionary: $593,903,298
- Non-discretionary: $144,520,975

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 436 | $110,465,222 |
| High net worth individuals | 140 | $622,696,748 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $4,403,717 |
| Other | Fewer than 5 | $858,586 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Other

### Firm details
- Registered since: 2012 (13 years)
- Employees: 5 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, CA, FL, GA, NC, PA, TN, TX
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/165823

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $504,848,305 | 5 | June 22, 2021 |
| October 2022 | $630,197,962 | 5 | March 8, 2022 |
| October 2023 | $516,192,899 | 5 | February 3, 2023 |
| October 2024 | $621,846,811 | 5 | August 20, 2024 |
| October 2025 | $709,903,352 | 5 | July 24, 2025 |
| October 2026 | $738,424,273 | 5 | February 11, 2026 |

Regulatory assets under management: $504,848,305 in the October 2021 data and $738,424,273 in the October 2026 data, up 46%.
Total employees: 5 in October 2021 and 5 in October 2026.

## Changes in the filing (last 12 months)

### January 2026
- No longer registered or notice-filed in SC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. AM Investment Strategies, LLC (CRD 165823): Form ADV filing data as of October 2026.