FINANCIAL MANAGEMENT STRATEGIES, INC.

CRD

120818

SEC file #

801-66641

EIN

—

DBA names

—

Economics

AUM

$714.2M

AUM band

$500M-$1B

AUM trajectory

'20 · $354.7M

'21 · $447.6M

'22 · $525.2M

'23 · $608.0M

'25 · $619.5M

'26 · $714.2M

'20'26

$354.7M → $714.2M▲ +101%

sec adv history

Client mix

Individuals Other	1,264
Individuals High Net Worth	588
Corporations	29
Pension Profit Sharing Plans	8
Charitable Organizations	6

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 22 advisors

'21 · 25 advisors

'22 · 25 advisors

'23 · 22 advisors

'25 · 23 advisors

'26 · 23 advisors

'20'26

22 advisors → 23 advisors▲ +5%

sec adv history

Primary office

BROADVIEW HTS. OH

Branches

—

Custodian & Brokerage

Primary custodian

Pershinglow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPension consultingEducational Seminars Workshops

Fee basis

% of AUMHourly chargesFixed fees

Filings

Latest ADV filing

03/31/2026

ADV-W filed at

—

Website

fmstrategies.biz

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

KNOX, JEFFREY, CHARLES

Top Owner Pct

62.5

Top Owner Entity Kind

Owner Count

Control Persons

KNOX, JEFFREY, CHARLES

ELLIOTT, CHARLES, BRIAN

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

fmstrategies.biz

Rdap Domain Creation Date

2002-01-29T19:09:58Z

Rdap Firm Age Years

Rdap Firm Age Band

20+y

Rdap Registrar

Network Solutions, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Registered

sec edgar

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score

0.3408

Soi Zip Pct 200k Plus

0.1214

Soi Zip Returns 200k Plus

1,300

Soi Zip Total AGI

1,155,525

Fdic Zip Total Deposits

7,161,514,000

Fdic Zip Branch Count

140

Fdic Zip Top Banks

The Huntington National Bank

Citizens Bank, National Association

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (24)

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

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Pershing	4
E*trade	4

adv brochure

Fdic Zip Branches Raw

Charter One Bank, F.S.B.Broadview Heights, OH

Fdic Zip HHI

2164.53

Fdic Zip Top Bank Share Pct

40.05

Fdic Zip Year

2025

Firm Has Custody

Mailing Office Differs

Rdap Domain Expiration Date

2029-01-28T23:59:59Z

Rdap Domain Last Changed

2025-10-24T00:55:35Z

Rdap Nameservers

Ns13.worldnic.comNs14.worldnic.com

Rdap Secure Dns Enabled

Rdap Status

Client Transfer Prohibited

Soi Year

2022

Soi Zip Distribution

Stub 1

AGI	25,545
Returns	2,350

Stub 2

AGI	69,675
Returns	1,870

Stub 3

AGI	102,359
Returns	1,660

Soi Zip Total Business Income

30,890

Soi Zip Total Cap Gains

45,428

Soi Zip Total Dividends

25,556

Soi Zip Total Returns

10,710

Top Owner CRD

1058673

Trust Company Affiliate

IAR · Direct Owner · 62.5%

People (20)

KNOX, JEFFREY, CHARLES

1058673

ELLIOTT, CHARLES, BRIAN

IAR · Direct Owner · 17.5%

4069269

LINDEN, AUSTIN, JOHN

1881356

CAMILLO, CARL, JOSEPH

NOVACK, GEOFFREY, FRANCIS

2330113

ELLINGER, VICTORIA, LOUISE

1761710

5821488

LANE, DANIEL, JOSEPH