# Financial Strategies, Inc.

> Financial Strategies, Inc. is an SEC-registered investment advisory firm in Brookfield, WI, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 15, 2026.

- CRD: 113097
- Filed as: FINANCIAL STRATEGIES, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Brookfield, WI
- Filing period: October 2026
- Form ADV filing dated: September 15, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/113097
- AdvisorCensus page: https://advisorcensus.com/firm/financial-strategies-inc-brookfield-wi-113097

## Quick answers

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

**How much does Financial Strategies, Inc. charge?**
Its Form ADV Part 2A brochure dated March 9, 2026 states: Flat fee: $1,000 to $15,000 (a comprehensive financial plan). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Financial Strategies, Inc. located?**
Financial Strategies, Inc.'s principal office is in Brookfield, WI, according to its Form ADV.

**Is Financial Strategies, Inc. registered with the SEC or a state?**
Financial Strategies, Inc. is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 113097.

**How much does Financial Strategies, Inc. manage?**
Financial Strategies, Inc. reports $149,831,208 in regulatory assets under management in its Form ADV filing dated September 15, 2026 (100% discretionary).

**How have Financial Strategies, Inc.'s assets and staff changed since 2022?**
In the Form ADV data for Financial Strategies, Inc.: Regulatory assets under management: $121,313,174 in the October 2022 data and $149,831,208 in the October 2026 data, up 24%. Total employees: 6 in October 2022 and 7 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Financial Strategies, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (180); high net worth individuals (19).

**Which custodians does Financial Strategies, Inc. use?**
Financial Strategies, 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 Financial Strategies, 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/113097

**What changed in Financial Strategies, Inc.'s recent Form ADV filings?**
In the October 2026 filing data: Employees performing advisory functions went from 3 to 4.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 9, 2026)

- Flat fee: $1,000 to $15,000 (a comprehensive financial plan)

> We charge a fixed fee ranging from $1,000 to $15,000 for a comprehensive financial plan which may be negotiable and is dependent on the scope and complexity of the plan

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: $149,831,208
- Discretionary: $149,831,208
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 180 | $93,915,650 |
| High net worth individuals | 19 | $55,915,558 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2022 (4 years)
- Employees: 7 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, FL, IL, TX, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- financialstrategiesinc.com
- retirementandwealth.com
- Facebook @FSIInvest
- LinkedIn @financialstrategiesinc
- X @FSIInvest

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $121,313,174 | 6 | May 20, 2022 |
| October 2023 | $102,517,355 | 5 | June 14, 2023 |
| October 2024 | $131,674,171 | 5 | March 25, 2024 |
| October 2025 | $137,037,345 | 5 | March 31, 2025 |
| October 2026 | $149,831,208 | 7 | September 15, 2026 |

Regulatory assets under management: $121,313,174 in the October 2022 data and $149,831,208 in the October 2026 data, up 24%.
Total employees: 6 in October 2022 and 7 in October 2026.

## Changes in the filing (last 12 months)

### October 2026
- Employees performing advisory functions went from 3 to 4.

### April 2026
- Employees performing advisory functions went from 2 to 3.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Financial Strategies, Inc. (CRD 113097): Form ADV filing data as of October 2026.