Altium Investment Strategies provides portfolio management for institutions.
Altium Investment Strategies reports 2 other investment advisers. Of its assets, 100.0% ($518M across 2 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Other investment advisers | 100% | 100% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Other investment advisers | 2 | $518M | 100.0% | $259M |
| Total | 2 | $518M | 100% | $259M |
- Clients
- 2
- Regulatory AUM
- $518M
- AUM share
- 100.0%
- Avg. per client
- $259M
Total
- Clients
- 2
- Regulatory AUM
- $518M
- AUM share
- 100%
- Avg. per client
- $259M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Altium Investment Strategies is paid through a percentage of assets under management; its fees and minimums are set out in its brochures on the SEC website.
The leadership team of Altium Investment Strategies includes Chief Financial Officer Edwin Mercer and Chief Compliance Officer Derek Wilkes. It has 8 employees, 4 of them in advisory roles.
Leadership
- Edwin MercerChief Financial Officer
- Derek WilkesChief Compliance Officer
- Konstantinos GotsisOwner
- Gregg GuintaCOO
- Robert LeoneOwner
- Paul O'GradyOwner
Staff
- 8 employees
- 4 in advisory functions
- 4 state-registered reps
- 4 broker-dealer reps
- Owns 10% to 25% of Altium Investment Strategies LLC
Paul O'Grady
since December 2024
- Owns 10% to 25% of Altium Investment Strategies LLC
Konstantinos Gotsis
since December 2024
- Owns 10% to 25% of Altium Investment Strategies LLC
Robert Leone
since December 2024
- Owns 10% to 25% of Altium Investment Strategies LLC
Edwin Mercer
Control person · since December 2024
Altium Investment Strategies’ regulatory assets grew 4.6× from $113M (June 2025) to $518M (March 2026); clients rose from 1 to 2 and employees from 5 to 8.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $518M | 2 | 8 | 1 |
| June 2025 | $113M | 1 | 5 | 1 |
Besides its headquarters, Altium Investment Strategies has 0 offices, with 1 listed address in Florida.
Florida · 1 listed address
- 2211 Ashley Oaks Circle, Wesley ChapelHQ
Contact and registration details
- Legal name
- Altium Investment Strategies LLC
- Headquarters
- 2211 Ashley Oaks Circle, Wesley Chapel, FL 33544
- Website
- Not reported
- Phone
- 813-215-7783
- SEC file
- 801-131829
- Structure
- Florida LLC
- Fiscal year end
- December
Altium Investment Strategies uses Charles Schwab ($113M) as custodian for its separately managed accounts. Altium Investment Strategies does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · El Paso, TX · $113M100%
At year end, Altium Investment Strategies’ separately managed accounts were mostly in bonds (83%) and funds (11%). Its reported 13F holdings for the quarter ended 30 June 2026 total $69.4M across 20 positions; the largest are First TR Exchange-traded FD (23.2%), Procter & Gamble CO (21.3%) and Global X Fds (17.8%).
What the accounts hold
- Stocks1%
- Funds11%
- Registered funds10%
- Pooled vehicles1%
- Bonds83%
- High-yield corporate bonds35%
- State and local bonds26%
- U.S. government and agency bonds20%
- Investment grade corporate bonds2%
- Cash3%
- Other2%
- Derivatives2%
Reported 13F holdings
- $69.4M
- Reported 13F value
- 20
- Positions
- 94.1%
- In the 10 largest
- +104.2%
- Value vs. prior quarter
- First TR Exchange-traded FD · First TR Enh New23.2%
- Procter & Gamble CO21.3%
- Global X Fds · 1 3 MO T BI ET17.8%
- Invesco Exch Trd Slf Idx FD · Buletshs 202715.3%
- EA Series Trust · Alpha Arch 1-35.0%
- Invesco Exch Trd Slf Idx FD · Invsco Blsh 263.6%
- First TR Exchange-traded FD · Ltd Dur Invt ETF2.4%
- First TR Exchange-traded FD · Core Investment2.4%
- Invesco Exch Trd Slf Idx FD · Invsco 28 Hycorp1.7%
- Invesco Exchange Traded FD T · S&P500 Pur Gwt1.4%
Together, the ten largest are 94.1% of reported value.
How many clients does Altium Investment Strategies have?
Altium Investment Strategies has 2 clients and manages $518 million for them, as of March 2026. They include 2 other investment advisers.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does Altium Investment Strategies offer?
Altium Investment Strategies provides portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Altium Investment Strategies use?
Altium Investment Strategies’ separately managed account assets are held at Charles Schwab & Co., Inc. (El Paso, TX), with $113M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026
How many financial advisors does Altium Investment Strategies have?
Altium Investment Strategies has 4 investment adviser representatives registered with state securities authorities, out of 8 employees, and 4 perform investment advisory functions. 4 employees are registered representatives of a broker-dealer and 0 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Altium Investment Strategies invest in?
At the end of its last fiscal year, Altium Investment Strategies’ separately managed accounts held 35% high-yield corporate bonds, 26% state and local bonds, 20% U.S. government and agency bonds, 10% registered funds (mutual funds, ETFs, BDCs), 3% cash and equivalents, 2% investment grade corporate bonds, 2% derivatives, 1% exchange-traded equities and 1% pooled vehicles (private funds and similar).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Altium Investment Strategies?
Altium Investment Strategies’ direct owners are Paul O'Grady, Konstantinos Gotsis, Robert Leone and Edwin Mercer, each holding 25% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does Altium Investment Strategies get paid?
Altium Investment Strategies is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Altium Investment Strategies?
Altium Investment Strategies’ main office is at 2211 Ashley Oaks Circle, Wesley Chapel, FL 33544. Its phone number is 813-215-7783.