Wealth manager, independent · The Woodlands, TX
AWM Financial Services Inc.
SEC-registered investment adviser · CRD 144351 · SEC 801-120940
At a glance
AWM Financial Services Inc. is an SEC-registered investment adviser based in The Woodlands, Texas, with $321 million in regulatory assets under management as of its Form ADV filed March 20, 2026. Its largest client group by assets is individuals, and it reports 200 individual clients. By Form ADV it is a wealth manager, ranked 4,176th of 8,915 wealth managers and 9,838th of 17,210 SEC-registered advisers by assets.
Main office 281-444-7555alliedwealth.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $321M
- Rank among wealth managers
- #4,176 of 8,915
- Rank among all SEC RIAs
- #9,838 of 17,210
- Rank in Texas
- #656 of 1,081
- Individual clients
- 200
- High-net-worth clients
- 42
- Accounts
- 2,700
- Discretionary
- 100% of AUM
- Employees
- 19
- Advisory staff
- 7
- Offices
- 1
Owners and executives on its Form ADV
- Daniel R. WhelessFounder/ceo
- Matthew I. StevensonPresident
- Ruth G. ThortvedtChief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 158 | $240M | 75% |
| High-net-worth individuals | 42 | $74M | 23% |
| Other investment advisers | 4 | $4M | 1% |
| Corporations or other businesses | 5 | $3M | 1% |
Disciplinary disclosures
AWM Financial Services Inc. 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
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Other
Form ADV and brochures on the SEC’s adviser search ↗alliedwealth.com ↗
AtlasMembers
The full record on AWM Financial Services Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 4 years of filings
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- Growth over one, three and five years
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- Rank against 6,521 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does AWM Financial Services Inc. manage?
AWM Financial Services Inc. reports $321 million in regulatory assets under management across 2,700 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 20, 2026.
What kind of firm is AWM Financial Services Inc.?
AWM Financial Services Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are AWM Financial Services Inc.’s clients?
By assets, its largest client types are individuals ($240 million, 158 clients); high-net-worth individuals ($74 million, 42 clients); other investment advisers ($4 million, 4 clients).
Does AWM Financial Services Inc. have any disciplinary history?
AWM Financial Services Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is AWM Financial Services Inc.’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 (2026-03-20), 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). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. 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 →