Financial & Tax Architects provides financial planning, portfolio management for individuals and small businesses, and educational seminars. Financial planning was provided to 101–250 clients last fiscal year.
Financial & Tax Architects reports 1,574 clients. They include 1,416 individual clients, 149 high-net-worth individuals and 9 other investment advisers. Of its assets, 100.0% ($506M across 3,736 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 90% | 42% |
| High-net-worth individuals | 9% | 32% |
| Other investment advisers | <1% | 26% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 1,416 | $213M | 42.0% | $150K |
| High-net-worth individuals | 149 | $162M | 32.1% | $1.09M |
| Other investment advisers | 9 | $131M | 25.9% | $14.6M |
| Total | 1,574 | $506M | 100% | $322K |
- Clients
- 1,416
- Regulatory AUM
- $213M
- AUM share
- 42.0%
- Avg. per client
- $150K
- Clients
- 149
- Regulatory AUM
- $162M
- AUM share
- 32.1%
- Avg. per client
- $1.09M
- Clients
- 9
- Regulatory AUM
- $131M
- AUM share
- 25.9%
- Avg. per client
- $14.6M
Total
- Clients
- 1,574
- Regulatory AUM
- $506M
- AUM share
- 100%
- Avg. per client
- $322K
- 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
- 101–250
Financial & Tax Architects charges 0.30%–1.95% a year for its Discretionary Asset Management. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable. The brochure also prices one other service, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$2M | 1.95% |
| $2M–$5M | 0.90% |
| $5M–$10M | 0.50% |
| $10M and above | 0.30% |
Fee details and sources
Other fees
- Wealth.com services
- Clients pay a one-time fee of $1,995 for Wealth.com services.
Fta Holdings Group, LLC owns 75% or more of Financial & Tax Architects and is in turn owned by Victoriae, Inc. (75% or more). David Brooks is CEO; the leadership team includes President Gordon Haave and Chief Compliance Officer Paul Felsch. It has 71 employees, 40 of them in advisory roles.
Leadership
David BrooksChief Executive Officer
Gordon HaavePresident and Chief Investment Officer- Paul FelschChief Compliance Officer & Legal Counsel
Investment adviser representatives
38 representatives listed in the SEC register as of 9 October 2026.
- Jordan Daniel Blanton
Staff
- 71 employees
- 40 in advisory functions
- 40 state-registered reps
- 36 insurance agents
- Owns 75% or more of Financial & Tax Architects, LLC
Fta Holdings Group, LLC
Control person · since May 2022
- Owns 75% or more of Fta Holdings Group, LLC
Victoriae, Inc.
Control person · since May 2022
- Owns 75% or more of Victoriae, Inc.
David Brooks
Control person · since May 2022
Financial & Tax Architects’ regulatory assets grew 2.8× from $184M (July 2021) to $506M (June 2026); clients rose from 383 to 1,574 and employees from 22 to 71.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| June 2026 | $506M | 1,574 | 71 | 22 |
| June 2025 | $443M | 1,061 | 53 | 21 |
| July 2024 | $410M | 875 | 38 | 18 |
| May 2023 | $317M | 657 | 26 | 7 |
| June 2022 | $269M | 528 | 20 | 7 |
| July 2021 | $184M | 383 | 22 | 7 |
Besides its headquarters, Financial & Tax Architects has 21 offices (2 private residences, listed without an address), with 20 listed addresses across 12 states.
California · 3 listed addresses
- 30101 Agoura Court, Agoura Hills
- 4343 Von Karman Avenue, Newport Beach
- 27240 Turnberry Lane, Valencia
Illinois · 3 listed addresses
- 1600 Golf Road, Corporate Center, Rolling Meadows
- 1415 West 22nd Street, Regency Towers, Oak Brook
- 110 Rottingham Court, Edwardsville
Maryland · 2 listed addresses
- 9150 Belvedere DR, Urbana
- 1400 Mercantile Lane, Largo
Oklahoma · 2 listed addresses
- 1441 NW 150th Street, Edmond
- 7633 E. 63rd Place, Tulsa
Tennessee · 2 listed addresses
- 1639 Medical Center Parkway, Murfreesboro
- 555 Marriott Drive, Nashville
Texas · 2 listed addresses
- 6860 Dallas Pkwy, Plano
- 675 Town Square BLVD, Garland
Idaho · 1 listed address
- 409 Coeur D'Alene Avenue, Coeur D'Alene
Kansas · 1 listed address
- 13200 Metcalf Avenue, Overland Park
Minnesota · 1 listed address
- 7800 Equitable Drive, Eden Prairie
Missouri · 1 listed address
- 12412 Powerscourt Drive, Suite 25, St. LouisHQ
Nevada · 1 listed address
- 8350 W. Sahara Avenue, Las Vegas
South Carolina · 1 listed address
- 2217 W Driftwood Ave, Florence
Other business names
Financial & Tax Architects has reported 12 other business names to the SEC.
- Advanced Wealth Management
- Core Financial Management
- Fta Wealth Advisors
- Knoxville Retirement Planners
- LFG Financial
- Nest Financial Advisors
- New Day Financial
- Professional Group
- Retirement Income Blueprints
- Ryu Financial, Inc
- Scout Financial Group
- The Masters Choice, Inc.
Contact and registration details
- Legal name
- Financial & Tax Architects, LLC
- Headquarters
- 12412 Powerscourt Drive, Suite 25, St. Louis, MO 63131
- Website
- Not reported
- Phone
- 314-858-1122
- SEC file
- 801-114688
- Structure
- Missouri LLC
- Fiscal year end
- December
Financial & Tax Architects uses Charles Schwab ($506M) as custodian for its separately managed accounts. Financial & Tax Architects does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $506M100%
At year end, Financial & Tax Architects’ separately managed accounts were mostly in funds (53%) and stocks (39%). Its reported 13F holdings for the quarter ended 30 June 2026 total $474M across 110 positions; the largest are Fidelity Total Bond ETF (5.1%), iShares Core U.S. REIT ETF (4.7%) and iShares MSCI Eafe ETF (4.7%).
What the accounts hold
- Stocks39%
- Funds53%
- Cash7%
Filed values cover 99%. The neutral 1% gap has no reported category.
Reported 13F holdings
- $474M
- Reported 13F value
- 110
- Positions
- 37.2%
- In the 10 largest
- +5.8%
- Value vs. prior quarter
- Fidelity Total Bond ETFETF5.1%
- iShares Core U.S. REIT ETFETF4.7%
- iShares MSCI Eafe ETFETF4.7%
- State Street SPDR S&P 500 ETFETF4.4%
- Abrdn Bloomberg All Commodity Strategy K-1 Free ETFETF4.3%
- State Street SPDR Bloomberg 1-3 Month T-bill ETFETF4.3%
- Access Treasury 0-1 Year ETFETF3.0%
- State Street SPDR Bloomberg Convertible Securities ETFETF2.4%
- Vanguard Short-term Inflation-protected Securities ETFETF2.2%
- Caterpillar Inc.2.0%
Together, the ten largest are 37.2% of reported value.
How many clients does Financial & Tax Architects have?
Financial & Tax Architects has 1,574 clients and manages $506 million for them, as of June 2026. They include 1,416 individual clients, 149 high-net-worth individuals and 9 other investment advisers.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 18 June 2026
What services does Financial & Tax Architects offer?
Financial & Tax Architects provides financial planning, portfolio management for individuals and small businesses, and educational seminars.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Financial & Tax Architects charge?
Financial & Tax Architects charges 0.30%–1.95% a year for its Discretionary Asset Management. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.
Source: FORM ADV PART 2A: FIRM BROCHURE, filed 29 January 2026
Which custodians does Financial & Tax Architects use?
Financial & Tax Architects’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $506M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 June 2026
How many financial advisors does Financial & Tax Architects have?
Financial & Tax Architects has 40 investment adviser representatives registered with state securities authorities, out of 71 employees, and 40 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 36 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 Financial & Tax Architects invest in?
At the end of its last fiscal year, Financial & Tax Architects’ separately managed accounts held 53% registered funds (mutual funds, ETFs, BDCs), 39% exchange-traded equities and 7% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Financial & Tax Architects?
Financial & Tax Architects is owned through a chain of holding companies by David Brooks. Its direct owner is Fta Holdings Group, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 18 June 2026
How does Financial & Tax Architects get paid?
Financial & Tax Architects is paid through a percentage of assets under management 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
Is Financial & Tax Architects registered with the SEC?
Yes, Financial & Tax Architects has been registered with the SEC as an investment adviser since 12 February 2019. Its CRD number is 119169 and its SEC file number is 801-114688.
Source: Form ADV Part 1A, Item 1, filed 18 June 2026; IAPD firm record
How do I contact Financial & Tax Architects?
Financial & Tax Architects’ main office is at 12412 Powerscourt Drive, Suite 25, St. Louis, MO 63131. Its phone number is 314-858-1122.