# Walsh & Associates, LLC

> Walsh & Associates, LLC is an SEC-registered investment advisory firm in Sarasota, FL, registered since 2013, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 10, 2026.

- CRD: 144441
- Filed as: WALSH & ASSOCIATES, LLC
- Also doing business as: WALSH & ASSOCIATES
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Sarasota, FL
- Filing period: October 2026
- Form ADV filing dated: March 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/144441
- AdvisorCensus page: https://advisorcensus.com/firm/walsh-and-associates-llc-sarasota-fl-144441

## Quick answers

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

**Where is Walsh & Associates, LLC located?**
Walsh & Associates, LLC's principal office is in Sarasota, FL, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F).

**Is Walsh & Associates, LLC registered with the SEC or a state?**
Walsh & Associates, LLC is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 144441.

**How much does Walsh & Associates, LLC manage?**
Walsh & Associates, LLC reports $827,707,540 in regulatory assets under management in its Form ADV filing dated March 10, 2026 (100% discretionary).

**How have Walsh & Associates, LLC's assets and staff changed since 2021?**
In the Form ADV data for Walsh & Associates, LLC: Regulatory assets under management: $489,987,215 in the October 2021 data and $827,707,540 in the October 2026 data, up 69%. Total employees: 13 in October 2021 and 15 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Walsh & Associates, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (820); high net worth individuals (487); pension and profit sharing plans (but not the plan participants or government pension plans) (9).

**Which custodians does Walsh & Associates, LLC use?**
Walsh & Associates, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists LPL Financial LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Walsh & Associates, LLC 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/144441

**What changed in Walsh & Associates, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 8 to 9. Regulatory assets under management went from $660,187,718 to $827,707,540 (+25%).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 10, 2026)

- Minimum annual fee: None

> We do not charge a minimum fee for our Comprehensive Portfolio Management service.

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

### Custodians (Schedule D, Section 5.K(3))
- LPL Financial 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: $827,707,540
- Discretionary: $827,707,540
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 820 | $191,799,525 |
| High net worth individuals | 487 | $615,545,014 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 9 | $15,265,735 |
| Charitable organizations | 3 | $888,886 |
| Corporations or other businesses not listed above | 5 | $4,208,380 |

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

### Firm details
- Registered since: 2013 (13 years)
- Employees: 15 total, 9 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AZ, CA, CO, FL, GA, IL, IN, MA, MD, MN, MO, NC, NH, NV, OH, OR, PA, SC, TN, TX, UT, VA, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Dekalb, IL
- Schaumburg, IL

### Websites listed on Form ADV (Item 1.I)
- walshandassociates.com
- Facebook @WalshandAssociatesFirm
- LinkedIn @2419091
- LinkedIn @walsh-&-associates.
- LinkedIn @arminta-stacy-mckelvey-cima®-fpqp™-219b0210a
- LinkedIn @hunter-smith-371a3324b
- LinkedIn @joewalshiii
- LinkedIn @josephpwalshii
- LinkedIn @kellyholleran
- LinkedIn @michaeljwalsh1
- LinkedIn @patricia-musachio-542024387
- LinkedIn @taylor-gilchrist-cfp®-5a346a177
- LinkedIn @thomasgwalsh
- X @Walsh_Assoc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $489,987,215 | 13 | March 30, 2021 |
| October 2022 | $580,247,263 | 12 | July 7, 2022 |
| October 2023 | $481,850,214 | 13 | April 12, 2023 |
| October 2024 | $574,308,554 | 13 | March 27, 2024 |
| October 2025 | $660,187,718 | 13 | July 22, 2025 |
| October 2026 | $827,707,540 | 15 | March 10, 2026 |

Regulatory assets under management: $489,987,215 in the October 2021 data and $827,707,540 in the October 2026 data, up 69%.
Total employees: 13 in October 2021 and 15 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 8 to 9.
- Regulatory assets under management went from $660,187,718 to $827,707,540 (+25%).

### December 2025
- Employees performing advisory functions went from 7 to 8.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Walsh & Associates, LLC (CRD 144441): Form ADV filing data as of October 2026.