SourcingSourcing

FINANCIAL STRATEGIES, INC.

B55
CRD 113097·SEC 801-125921·BROOKFIELD, WI
AUM
$149.8M
$100M-$500M
Est. Revenue
$1.5M
@ 1% on AUM
Est. EBITDA
$449K
@ 30% margin
Est. Deal Value
$3.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
FINANCIAL STRATEGIES, INC.
CRD
113097
SEC file #
801-125921
EIN
311412791
DBA names
—

Economics

AUM
$149.8M
AUM band
$100M-$500M
AUM trajectory
'23'26
$121.3M → $149.8M▲ +24%
Client mix
Individuals Other180
Individuals High Net Worth19

Operations

Employees (total)
6
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'23'26
3 advisors → 3 advisors▬ 0%
Primary office
BROOKFIELD WI
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/09/2026
ADV-W filed at
—
Website
facebook.com/fsiinvest(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CANTRELL, JAMES, DOUGLAS
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
CANTRELL, JAMES, DOUGLAS
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:strategies.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
5,641
Form 5500 Compensation Trajectory 3y
20255,641
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
5,641
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001625246
Edgar Registered
Yes
Edgar Filing Count
48
Edgar First Filing Date
2015-02-13
Edgar Last Filing Date
2026-05-01
Edgar 13f Count
46
Edgar 13f Latest AUM Estimate
Filing Date2026-05-01
Accession0001172661-26-001585

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
10
Bc Firm IAR Count
10
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
4111 WORTH AVE. #510COLUMBUS, OH 43219-3599
Business
4111 WORTH AVE. #510COLUMBUS, OH 43219-3599
Edgar EIN
311412791
Edgar Recent Filings
13F-HR2026-05-01 · 0001172661-26-001585
13F-HR2026-01-27 · 0001172661-26-000321
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
2087445
Trust Company Affiliate
No

People (10)

10
CANTRELL, JAMES, DOUGLAS
IAR · Direct Owner · 87.5%
2087445
HANNAH JANE CHAVEZ
IAR
6739973
JORDAN STOVER
IAR
7044561
Stanislav Ruslanovich Vorobets
IAR
7611640
Zachary Daniel Dujmic
IAR
8155967
JOHN MICHAEL HEFFEL
IAR
6409747
CONNOR SCOTT BLACK
IAR
6521715
Justin A Arnold
IAR
6429666
JACK WOODIN STIGER
IAR
7380865
Laurence Ray Donohue
IAR
6949590