Wealth manager, independent · Swansea, IL
Archford Capital Strategies, LLC
SEC-registered investment adviser · CRD 164482 · SEC 801-76851
At a glance
Archford Capital Strategies, LLC is an SEC-registered investment adviser based in Swansea, Illinois, with $1.5B in regulatory assets under management as of its Form ADV filed April 30, 2026. It reports 774 individual clients, 278 of them high-net-worth, holding an average of about $1.5 million each, and 45 employees. That ranks it 739th among the nation’s 5,657 independent wealth management RIAs and 31st of 226 in Illinois. It reports BNY Pershing as the custodian for its clients’ separately managed accounts.
Main office 618-416-7085archfordcapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.5B
- Rank among independent wealth managers
- #739 of 5,657
- Rank among all SEC RIAs
- #4,279 of 17,210
- Rank in Illinois
- #31 of 226
- Individual clients
- 774
- High-net-worth clients
- 278
- Accounts
- 4,113
- Discretionary
- 100% of AUM
- Employees
- 45
- Advisory staff
- 16
- Offices
- 3
Owners and executives on its Form ADV
- James D. MaherChief Executive Officer
- Amanda K. WhiteChief Compliance Officer/chief Financial Officer
- Paul R. AlegnaniChief Investment Officer
- Charles BrueggemannExecutive Officer
- Andrew R. GreeneChief Operating Officer
- Jeffrey D. KeiserChief Legal Officer
- Colby S. ShermanChief Wealth Management Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Archford Capital Strategies, LLC is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Valmark Securities as the broker-dealer its advisers are registered with.
Broker-Dealer Affiliation - Certain Advisory Persons of Archford are registered representatives of Valmark Securities, Inc.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 278 | $1.0B | 68% |
| Pension and profit sharing plans | 67 | $206M | 14% |
| Individuals | 496 | $183M | 12% |
| Corporations or other businesses | 13 | $67M | 5% |
| Charitable organizations | 6 | $21M | 1% |
| Investment companies | 1 | $0M | 0% |
Disciplinary disclosures
Archford Capital Strategies, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Periodicals or newsletters
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗archfordcapital.com ↗
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- Assets, accounts, clients and staff, ten years of filings
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- 7 namedLocked
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Similar-size RIAs in Illinois
All of Illinois →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Rothschild Wealth LLCOakbrook | $1.7B | 3,569 |
| Pekin Hardy Strauss, Inc.Chicago | $1.6B | 725 |
| Urban Financial Advisory CorporationChicago | $1.5B | 254 |
| Mediqus Asset Advisors, Inc.Chicago | $1.5B | 711 |
| Fourstar Wealth Advisors, LLCChicago | $1.4B | 1,753 |
| The Planning Center, Inc.Moline | $1.4B | 895 |
Background
Questions
How much does Archford Capital Strategies, LLC manage?
Archford Capital Strategies, LLC reports $1.5B in regulatory assets under management across 4,113 accounts, 100% of it on a discretionary basis, on its Form ADV filed April 30, 2026.
How many clients does Archford Capital Strategies, LLC have?
It reports 774 individual clients: 278 high-net-worth individuals and 496 other individuals. Individuals account for about 80% of its regulatory assets.
Where is Archford Capital Strategies, LLC headquartered?
Its main office is in Swansea, Illinois. It reports 3 offices in total and 45 employees, 16 of whom perform investment advisory functions.
How does Archford Capital Strategies, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Archford Capital Strategies, LLC use?
It reports BNY Pershing as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed April 30, 2026, it reports these amounts held: BNY Pershing ($1.2B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Archford Capital Strategies, LLC a hybrid RIA with a broker-dealer?
Archford Capital Strategies, LLC is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Archford Capital Strategies, LLC a fiduciary?
As an SEC-registered investment adviser, Archford Capital Strategies, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 1 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Archford Capital Strategies, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →