{"url":"https://nivawealth.com/firms/anderson-financial-strategies-290343","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/290343","regulatoryAum":402105003,"crd":"290343","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5276913","suffix":null,"lastName":"ANDERSON","firstName":"SHON","middleName":"P"},{"crd":"6441138","suffix":null,"lastName":"BROWN","firstName":"TIMOTHY","middleName":"RAY"},{"crd":"5491560","suffix":null,"lastName":"LANNING","firstName":"NICOLE","middleName":"E"},{"crd":"7013025","suffix":null,"lastName":"Peck","firstName":"Matthew","middleName":"J"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-06-04","regulatoryAum":121708440,"clients":127,"employees":6,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":179868345,"clients":163,"employees":7,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":205617048,"clients":183,"employees":6,"offices":1},{"filedOn":"2024-06-20","regulatoryAum":245683085,"clients":217,"employees":6,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":348055211,"clients":241,"employees":7,"offices":1},{"filedOn":"2026-03-31","regulatoryAum":402105003,"clients":230,"employees":7,"offices":1}],"secFileNumber":"801-121691","legalName":"Anderson 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Schwab","location":"Westlake, TX","smaAssets":194025311},{"name":"John Hancock Trust Company LLC","shortName":"John Hancock Trust","location":"Boston, MA","smaAssets":64350671},{"name":"Empower Financial Services, Inc.","shortName":"Empower","location":"Greenwood Village, CO","smaAssets":40630351},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":30152239}],"custodyNote":"Anderson Financial Strategies does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Shon Anderson","title":"Chief Compliance Officer & Managing Member","crd":"5276913"}],"ownership":[{"label":"Shon Anderson","detail":"Chief compliance officer & managing member in the 75% or more ownership band and a control person, since October 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They include 111 individual clients, 71 high-net-worth individuals, and 37 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Anderson Financial Strategies offer?","answer":"Anderson Financial Strategies provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Anderson Financial Strategies use?","answer":"Anderson Financial Strategies’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $194M, John Hancock Trust Company LLC (Boston, MA), with $64.4M, Empower Financial Services, Inc. (Greenwood Village, CO), with $40.6M and Fidelity Brokerage Services LLC (Smithfield, RI), with $30.2M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Anderson Financial Strategies have?","answer":"Anderson Financial Strategies has 5 investment adviser representatives registered with state securities authorities, out of 7 employees, and 5 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Anderson Financial Strategies invest in?","answer":"At the end of its last fiscal year, Anderson Financial Strategies’ separately managed accounts held 52% registered funds (mutual funds, ETFs, BDCs), 47% exchange-traded equities and 1% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Anderson Financial Strategies?","answer":"Anderson Financial Strategies’ direct owner is Shon Anderson (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Anderson Financial Strategies get paid?","answer":"Anderson Financial Strategies is paid through a percentage of assets under management, hourly charges and fixed fees. 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Anderson Financial Strategies?","answer":"Anderson Financial Strategies’ main office is at 2500 Stratacache Tower, 40 N Main St., Dayton, OH 45423. Its phone number is 855-237-4545. 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}