Wealth manager, wrap-program sponsor · Sarasota, FL
Walsh & Associates, LLC
SEC-registered investment adviser · CRD 144441 · SEC 801-77605
At a glance
Walsh & Associates, LLC is an SEC-registered investment adviser based in Sarasota, Florida, with $828 million in regulatory assets under management as of its Form ADV filed March 10, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 1,307 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 1,851st of 8,915 wealth managers and 5,982nd of 17,210 SEC-registered advisers by assets.
Main office 941-952-1188walshandassociates.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $828M
- Rank among wealth managers
- #1,851 of 8,915
- Rank among all SEC RIAs
- #5,982 of 17,210
- Rank in Florida
- #309 of 1,090
- Individual clients
- 1,307
- High-net-worth clients
- 487
- Accounts
- 2,571
- Discretionary
- 100% of AUM
- Employees
- 15
- Advisory staff
- 9
- Offices
- 3
Owners and executives on its Form ADV
- Joseph P. WalshManaging Member
- Michael J. WalshCCO
- Joseph P. WalshWealth Advisor
- Thomas G. WalshWealth Advisor
Custody and brokerage
Broker-dealer
Hybrid RIA
Walsh & Associates, LLC is a hybrid RIA: 9 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names LPL Financial as the broker-dealer its advisers are registered with.
As such, our investment adviser representatives are also registered representatives with LPL, in which all brokerage transactions will be implemented through LPL.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 487 | $616M | 74% |
| Individuals | 820 | $192M | 23% |
| Pension and profit sharing plans | 9 | $15M | 2% |
| Corporations or other businesses | 5 | $4M | <1% |
| Charitable organizations | 3 | $1M | <1% |
Disciplinary disclosures
Walsh & Associates, 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
- Pension consulting
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗walshandassociates.com ↗
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The full record on Walsh & Associates, LLC
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 4,024 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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Background
Questions
How much does Walsh & Associates, LLC manage?
Walsh & Associates, LLC reports $828 million in regulatory assets under management across 2,571 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 10, 2026.
What kind of firm is Walsh & Associates, LLC?
Walsh & Associates, LLC 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 Walsh & Associates, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($616 million, 487 clients); individuals ($192 million, 820 clients); pension and profit sharing plans ($15 million, 9 clients).
Does Walsh & Associates, LLC have any disciplinary history?
Walsh & Associates, LLC 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 Walsh & Associates, 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 (2026-03-10), 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 →