Wealth manager, independent · Broadview HTS., OH
Financial Management Strategies, Inc.
SEC-registered investment adviser · CRD 120818 · SEC 801-66641
At a glance
Financial Management Strategies, Inc. is an SEC-registered investment adviser based in Broadview HTS., Ohio, with $714 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 1,852 individual clients. By Form ADV it is a wealth manager, ranked 2,108th of 8,915 wealth managers and 6,481st of 17,210 SEC-registered advisers by assets.
Main office 216-642-1099fmstrategies.bizAs filed on Form ADV
- Regulatory AUM
- $714M
- Rank among wealth managers
- #2,108 of 8,915
- Rank among all SEC RIAs
- #6,481 of 17,210
- Rank in Ohio
- #133 of 403
- Individual clients
- 1,852
- High-net-worth clients
- 588
- Accounts
- 1,895
- Discretionary
- 82% of AUM
- Employees
- 23
- Advisory staff
- 23
- Offices
- 8
Owners and executives on its Form ADV
- Jeffrey C. KnoxPresident
- Charles B. ElliottVice President - Portfolio Management & Financial Planning
- Jennifer L. SoltisChief Compliance Officer
- Carl J. CamilloInvestment Adviser Representative
- Geoffrey F. NovackInvestment Adviser Representative
- Victoria L. EllingerInvestment Adviser Representative
- Austin J. LindenInvestment Adviser Representative
- Daniel J. LaneInvestment Advisor Representitive
Custody and brokerage
Broker-dealer
Hybrid RIA
Financial Management Strategies, Inc. is a hybrid RIA: 23 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Cetera Wealth Services as the broker-dealer its advisers are registered with.
10 OTHER FINANCIAL INDUSTRY ACTIVITIES AND AFFILIATIONS Management personnel and certain Investment Adviser Representatives of FMS may be separately licensed as Registered Representatives with Cetera Wealth Services LLC, member FINRA/SIPC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 588 | $374M | 52% |
| Individuals | 1,264 | $245M | 34% |
| Pension and profit sharing plans | 8 | $66M | 9% |
| Corporations or other businesses | 29 | $25M | 4% |
| Charitable organizations | 6 | $5M | <1% |
Disciplinary disclosures
Financial Management Strategies, Inc. answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- 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 ↗fmstrategies.biz ↗
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The full record on Financial Management Strategies, 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, ten years of filings
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- Growth over one, three and five years
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- Rank against 4,441 peers of its type and size
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- Owners and executives, with titles and stakes
- 8 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 Financial Management Strategies, Inc. manage?
Financial Management Strategies, Inc. reports $714 million in regulatory assets under management across 1,895 accounts, 82% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Financial Management Strategies, Inc.?
Financial Management Strategies, 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 Financial Management Strategies, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($374 million, 588 clients); individuals ($245 million, 1,264 clients); pension and profit sharing plans ($66 million, 8 clients).
Does Financial Management Strategies, Inc. have any disciplinary history?
Financial Management Strategies, Inc. answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Financial Management Strategies, 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 (2026-03-31), 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 →