AdvisorCensus / Financial advisors / North Carolina / West Financial Strategies, Inc.
West Financial Strategies, Inc. is an SEC-registered investment advisory firm in Sanford, NC, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated May 8, 2026.
Quick answers
From the filingHow is West Financial Strategies, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), West Financial Strategies, Inc. reports these compensation arrangements: a percentage of assets under its management.
How much does West Financial Strategies, Inc. charge?
Its Form ADV Part 2A brochure dated May 8, 2026 states: Up to $1,000,000: 0.25% a year; $1,000,000 to $2,000,000: 0.2% a year; Above $2,000,000: 0.125% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is West Financial Strategies, Inc. located?
West Financial Strategies, Inc.'s principal office is in Sanford, NC, according to its Form ADV.
Is West Financial Strategies, Inc. registered with the SEC or a state?
West Financial Strategies, Inc. is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 118241.
How much does West Financial Strategies, Inc. manage?
West Financial Strategies, Inc. reports $121,014,544 in regulatory assets under management in its Form ADV filing dated May 8, 2026 (100% discretionary).
What types of clients does West Financial Strategies, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (91); high net worth individuals (46); other (2).
Which custodians does West Financial Strategies, Inc. use?
West 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 West 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/118241
What changed in West Financial Strategies, Inc.'s recent Form ADV filings?
In the July 2026 filing data: Newly registered with the SEC.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2A| Assets | Annual rate |
|---|---|
| Up to $1,000,000 | 0.25% |
| $1,000,000 to $2,000,000 | 0.2% |
| Above $2,000,000 | 0.125% |
The brochure's wording
The following fee schedule is provided: Assets under management Fee On the first $1,000,000 0.25% Quarterly From $1,000,000 to $2,000,000 0.20% Quarterly On assets over $2,000,000 0.125% Quarterly
As stated in the firm's Form ADV Part 2A brochure dated May 8, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$121,014,544 as of October 2026, filing dated May 8, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2026 (0 years)
- Employees
- Total: 3. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 months- July 2026
- Newly registered with the SEC.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. West Financial Strategies, Inc. (CRD 118241): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/west-financial-strategies-inc-sanford-nc-118241