STRATEGIC FINANCIAL SERVICES

RIASEC RegisteredEst. 1989
Total AUM
$2.8B
Discretionary
$2.7B
95% of AUM
Avg account
$782K
Accounts
3,589
Employees
39
Advisory reps
26

Firm details

Headquarters
UTICA, New York
CRD number
109677
Registered since
February 17, 1989
Website
investstrategic.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI62.33%
  • Pension & Profit Sharing Plans19.92%
  • Individuals8.08%
  • Corporations / Businesses7.67%
  • Charitable Organizations2%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Strategic Financial Services is an independent, corporately organized RIA that has been SEC-registered since 1989. The firm serves both individual and family clients as well as institutional accounts and operates as a capital allocator. Core advisory capabilities include financial planning, discretionary portfolio management for individuals, small businesses and institutions, pension consulting, manager selection, and educational workshops. Fee structures combine a percentage-of-AUM model with fixed fees. The firm is not positioned as an ESG-focused investor and is not identified as a multi-state adviser for registration purposes. Forbes recognized the firm among "Top RIA Firms" in 2024.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 89%, Exchange Traded Equities 7%, Cash & Cash Equivalents 2%, US Government Bonds 1%, Investment Grade Corp Bonds 1%89%
  • Public Funds/Mutual Funds89%
  • Exchange Traded Equities7%
  • Cash & Cash Equivalents2%
  • US Government Bonds1%
  • Investment Grade Corp Bonds1%

Owners & executives

3 of 3

  • ALAN LEIST

    Chief Executive OfficerCRD 2641909

  • KASEY WILLIAMS

    Chief Operations and Compliance OfficerCRD 5914932

  • DOUGLAS WALTERS

    Chief Investment OfficerCRD 5186158

Contacts

3 of 23

  • Justin Hearty

    Financial Planning SpecialistCRD 7260090

  • Shannon Cool

    Associate AdvisorCRD 7929155

  • AARON EVANS

    Senior Advisor, PartnerCRD 6058023

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 69

Active vs passive

$2B in ETFs

Passive

95%

$1.9B

Active

5%

$104M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES INTERNATIONAL EQUITY FACTOR ETF (INTF)BlackRockPassiveForeign Large Blend$339M8,700,43117.28%
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Location

Primary office

UTICA, NY

ONEIDA

Location

UTICA, NY

Headquartered in UTICA, NY, in the Northeast of the United States.

Region
Northeast
County
ONEIDA
Address
114 Business Park Dr
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth