# AWM Financial Services Inc.

> 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.

- CRD: 144351
- Filed as: AWM FINANCIAL SERVICES INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: The Woodlands, TX
- Filing period: October 2026
- Form ADV filing dated: March 20, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/144351
- AdvisorCensus page: https://advisorcensus.com/firm/awm-financial-services-inc-the-woodlands-tx-144351

## Quick answers

**How is AWM Financial Services Inc. compensated?**
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.

**How much does AWM Financial Services Inc. charge?**
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.

**Where is AWM Financial Services Inc. located?**
AWM Financial Services Inc.'s principal office is in The Woodlands, TX, according to its Form ADV.

**Is AWM Financial Services Inc. registered with the SEC or a state?**
AWM Financial Services Inc. is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 144351.

**How much does AWM Financial Services Inc. manage?**
AWM Financial Services Inc. reports $320,578,704 in regulatory assets under management in its Form ADV filing dated March 20, 2026 (100% discretionary).

**How have AWM Financial Services Inc.'s assets and staff changed since 2021?**
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.

**What types of clients does AWM Financial Services Inc. serve?**
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).

**Which custodians does AWM Financial Services Inc. use?**
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.

**Does AWM Financial Services Inc. report any disciplinary disclosures?**
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

**Does AWM Financial Services Inc. state an account minimum?**
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."

**What changed in AWM Financial Services Inc.'s recent Form ADV filings?**
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).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Other

### Fees and minimums (Form ADV Part 2A brochure dated March 20, 2026)

- Account minimum: $500,000 (the brochure says it may be waived or negotiated)

> AWM requires a minimum of $500,000 to open and maintain an advisory account. At our sole discretion, we may waive this requirement.

- Hourly rate: $1,000 an hour (consulting services, to include financial planning)

> If the client decides to engage us for consulting services, we will charge an hourly fee of $ 1,000.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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: $320,578,704
- Discretionary: $320,578,704
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 158 | $239,669,564 |
| High net worth individuals | 42 | $74,149,014 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 4 | $3,515,893 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 5 | $3,244,233 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops

### Firm details
- Registered since: 2021 (5 years)
- Employees: 19 total, 7 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AR, CA, FL, LA, OK, SC, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [alliedwealth.com](https://alliedwealth.com)
- Facebook @ALLIEDWEALTH
- LinkedIn @ALLIED-WEALTH
- X @ALLIED_WEALTH
- YouTube @ALLIEDWEALTHTV

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $121,081,714 | 11 | October 1, 2021 |
| October 2022 | $180,423,211 | 11 | February 9, 2022 |
| October 2023 | $172,309,075 | 11 | May 1, 2023 |
| October 2024 | $198,000,000 | 13 | May 16, 2024 |
| October 2025 | $233,714,026 | 15 | June 13, 2025 |
| October 2026 | $320,578,704 | 19 | March 20, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. AWM Financial Services Inc. (CRD 144351): Form ADV filing data as of October 2026.