Wealth manager, independent · Utica, NY
Strategic Financial Services
Strategic Financial Services, Inc. · SEC-registered investment adviser · CRD 109677 · SEC 801-33774
At a glance
Strategic Financial Services is an SEC-registered investment adviser based in Utica, New York, with $2.8B in regulatory assets under management as of its Form ADV filed March 26, 2026. It reports 1,216 individual clients, 501 of them high-net-worth, holding an average of about $1.6 million each, and 39 employees. That ranks it 399th among the nation’s 5,657 independent wealth management RIAs and 31st of 408 in New York. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Main office 315-724-1776investstrategic.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.8B
- Rank among independent wealth managers
- #399 of 5,657
- Rank among all SEC RIAs
- #2,952 of 17,210
- Rank in New York
- #31 of 408
- Individual clients
- 1,216
- High-net-worth clients
- 501
- Accounts
- 3,589
- Discretionary
- 95% of AUM
- Employees
- 39
- Advisory staff
- 26
- Offices
- 6
Owners and executives on its Form ADV
- Alan R. LeistCEO
- Kasey J. WilliamsChief Compliance Officer
- Douglas S. WaltersChief Investment Officer
- Aaron R EvansSenior Advisor
Custody and brokerage
Broker-dealer
No broker-dealer ties
Strategic Financial Services reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 501 | $1.7B | 62% |
| Pension and profit sharing plans | 80 | $559M | 20% |
| Individuals | 715 | $227M | 8% |
| Corporations or other businesses | 33 | $215M | 8% |
| Charitable organizations | 7 | $56M | 2% |
Disciplinary disclosures
Strategic Financial Services 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
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗investstrategic.com ↗
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The full record on Strategic Financial Services
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 1,428 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in New York
All of New York →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Meyer Handelman Company LLCRYE Brook | $3.2B | 475 |
| Capital Counsel LLCNew York | $2.9B | 214 |
| Cordoba Advisory Partners LLCNew York | $2.8B | 57 |
| Rock Harbor Partners LLCLarchmont | $2.7B | 62 |
| The Portfolio Strategy Group, LLCWhite Plains | $2.6B | 405 |
| Bridgewater Advisors Inc.New York | $2.6B | 589 |
Background
Questions
How much does Strategic Financial Services manage?
Strategic Financial Services reports $2.8B in regulatory assets under management across 3,589 accounts, 95% of it on a discretionary basis, on its Form ADV filed March 26, 2026.
How many clients does Strategic Financial Services have?
It reports 1,216 individual clients: 501 high-net-worth individuals and 715 other individuals. Individuals account for about 70% of its regulatory assets.
Where is Strategic Financial Services headquartered?
Its main office is in Utica, New York. It reports 6 offices in total and 39 employees, 26 of whom perform investment advisory functions.
How does Strategic Financial Services charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; 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 Strategic Financial Services use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed March 26, 2026, it reports these amounts held: Charles Schwab ($1.6B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Strategic Financial Services a hybrid RIA with a broker-dealer?
Strategic Financial Services reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Strategic Financial Services a fiduciary?
As an SEC-registered investment adviser, Strategic Financial Services owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Strategic Financial Services’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 (2026-03-26), 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 →