{
  "crd_number": 144351,
  "slug": "awm-financial-services-inc-the-woodlands-tx-144351",
  "primary_business_name": "AWM FINANCIAL SERVICES INC.",
  "legal_name": "AWM FINANCIAL SERVICES INC.",
  "dbas": [],
  "city": "The Woodlands",
  "state": "TX",
  "country": "United States",
  "cbsa_code": "26420",
  "metro": {
    "cbsa_code": "26420",
    "common_name": "Houston",
    "msa_name": "Houston-Pasadena-The Woodlands, TX",
    "path": "/advisors/tx/houston"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2021-04-23",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-03-20",
  "carried_forward": false,
  "raum_total": 320578704.0,
  "raum_discretionary": 320578704.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 19,
  "advisory_employees": 7,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 239669564.0,
      "count": 158
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 3515893.0,
      "count": 4
    },
    "high_net_worth_individuals": {
      "raum": 74149014.0,
      "count": 42
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 3244233.0,
      "count": 5
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "hourly",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AR",
    "CA",
    "FL",
    "LA",
    "OK",
    "SC",
    "TX"
  ],
  "websites": [
    "https://alliedwealth.com",
    "https://facebook.com/ALLIEDWEALTH",
    "https://linkedin.com/COMPANY/ALLIED-WEALTH",
    "https://twitter.com/ALLIED_WEALTH",
    "https://youtube.com/USER/ALLIEDWEALTHTV"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/144351",
  "city_as_filed": "THE WOODLANDS",
  "url": "https://advisorcensus.com/firm/awm-financial-services-inc-the-woodlands-tx-144351",
  "display_name": "AWM Financial Services Inc.",
  "summary": "AWM Financial Services Inc. is an SEC-registered investment advisory firm in The Woodlands, TX, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 20, 2026.",
  "citation": "AdvisorCensus. AWM Financial Services Inc. (CRD 144351): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is AWM Financial Services Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), AWM Financial Services Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; other."
    },
    {
      "q": "How much does AWM Financial Services Inc. charge?",
      "a": "Its Form ADV Part 2A brochure dated March 20, 2026 states: Hourly rate: $1,000 an hour (consulting services, to include financial planning). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is AWM Financial Services Inc. located?",
      "a": "AWM Financial Services Inc.'s principal office is in The Woodlands, TX, according to its Form ADV."
    },
    {
      "q": "Is AWM Financial Services Inc. registered with the SEC or a state?",
      "a": "AWM Financial Services Inc. is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 144351."
    },
    {
      "q": "How much does AWM Financial Services Inc. manage?",
      "a": "AWM Financial Services Inc. reports $320,578,704 in regulatory assets under management in its Form ADV filing dated March 20, 2026 (100% discretionary)."
    },
    {
      "q": "How have AWM Financial Services Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for AWM Financial Services Inc.: Regulatory assets under management: $121,081,714 in the October 2021 data and $320,578,704 in the October 2026 data, up 165%. Total employees: 11 in October 2021 and 19 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does AWM Financial Services Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (158); high net worth individuals (42); corporations or other businesses not listed above (5)."
    },
    {
      "q": "Which custodians does AWM Financial Services Inc. use?",
      "a": "AWM Financial Services Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does AWM Financial Services Inc. report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/144351"
    },
    {
      "q": "Does AWM Financial Services Inc. state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 20, 2026 says: \"AWM requires a minimum of $500,000 to open and maintain an advisory account. At our sole discretion, we may waive this requirement.\""
    },
    {
      "q": "What changed in AWM Financial Services Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 6 to 7. Regulatory assets under management went from $233,714,026 to $320,578,704 (+37%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 121081714.0,
      "total_employees": 11,
      "filing_date": "2021-10-01"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 180423211.0,
      "total_employees": 11,
      "filing_date": "2022-02-09"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 172309075.0,
      "total_employees": 11,
      "filing_date": "2023-05-01"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 198000000.0,
      "total_employees": 13,
      "filing_date": "2024-05-16"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 233714026.0,
      "total_employees": 15,
      "filing_date": "2025-06-13"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 320578704.0,
      "total_employees": 19,
      "filing_date": "2026-03-20"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 6 to 7.",
        "Regulatory assets under management went from $233,714,026 to $320,578,704 (+37%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 20, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$500,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $1,000 an hour (consulting services, to include financial planning)"
    ],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $500,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "AWM requires a minimum of $500,000 to open and maintain an advisory account. At our sole discretion, we may waive this requirement."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $1,000 an hour (consulting services, to include financial planning)"
        ],
        "quotes": [
          "If the client decides to engage us for consulting services, we will charge an hourly fee of $ 1,000."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 500000.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": 1000.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "consulting services, to include financial planning"
        }
      ]
    },
    "quotes": [
      "AWM requires a minimum of $500,000 to open and maintain an advisory account. At our sole discretion, we may waive this requirement.",
      "If the client decides to engage us for consulting services, we will charge an hourly fee of $ 1,000."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/awm-financial-services-inc-the-woodlands-tx-144351.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 158,
      "fewer_than_5": false,
      "raum": 239669564.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 42,
      "fewer_than_5": false,
      "raum": 74149014.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 4,
      "fewer_than_5": false,
      "raum": 3515893.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 5,
      "fewer_than_5": false,
      "raum": 3244233.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/144351",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}