Financial Strategies provides financial planning and portfolio management for individuals and small businesses. Financial planning was provided to 101–250 clients last fiscal year.
Financial Strategies reports 199 clients. They include 180 individual clients and 19 high-net-worth individuals. Of its assets, 100.0% ($150M across 560 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 90% | 63% |
| High-net-worth individuals | 10% | 37% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 180 | $93.9M | 62.7% | $522K |
| High-net-worth individuals | 19 | $55.9M | 37.3% | $2.94M |
| Total | 199 | $150M | 100% | $753K |
- Clients
- 180
- Regulatory AUM
- $93.9M
- AUM share
- 62.7%
- Avg. per client
- $522K
- Clients
- 19
- Regulatory AUM
- $55.9M
- AUM share
- 37.3%
- Avg. per client
- $2.94M
Total
- Clients
- 199
- Regulatory AUM
- $150M
- AUM share
- 100%
- Avg. per client
- $753K
- 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 Strategies is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning Fixed Fee
- A comprehensive financial plan is charged a fixed fee of $1,000 to $15,000, which may be negotiable; 50% is payable in advance.
- Initial Financial Planning Fee
- The initial financial planning flat fee is based on the scope of the planning at an hourly rate of $300; 50% is due when the client agreement is signed.
James Cantrell owns 75% or more of Financial Strategies. The leadership team of Financial Strategies includes President James Cantrell. It has 7 employees, 4 of them in advisory roles.
Staff
- 7 employees
- 4 in advisory functions
- 4 state-registered reps
- Owns 75% or more of Financial Strategies, Inc.
James Cantrell
Control person · since March 1993
Financial Strategies’ regulatory assets grew from $121M (May 2022) to $150M (September 2026); clients rose from 161 to 199 and employees from 6 to 7.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Sep 2026September 2026 | $150M | 199 | 7 | 1 |
| Mar 2025March 2025 | $137M | 204 | 5 | 1 |
| Mar 2024March 2024 | $132M | 184 | 5 | 1 |
| Jun 2023June 2023 | $103M | 177 | 5 | 1 |
| May 2022May 2022 | $121M | 161 | 6 | 1 |
Besides its headquarters, Financial Strategies has 0 offices, with 1 listed address in 1 state.
Wisconsin · 1 listed address
- 13555 Bishops Court, Suite 340, BrookfieldHQ
Contact and registration details
- Legal name
- Financial Strategies, Inc.
- Headquarters
- 13555 Bishops Court, Suite 340, Brookfield, WI 53005
- Website
- financialstrategiesinc.com
- Phone
- 262-821-1664
- @financialstrategiesinc
- SEC file
- 801-125921
- Structure
- Wisconsin corporation
- Fiscal year end
- December
Financial Strategies’ named custodian for separately managed accounts is Charles Schwab ($138M). Financial Strategies has custody of $97.3M for 158 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $138M100%
At year end, Financial Strategies’ separately managed accounts were mostly in funds (87%).
What the accounts hold
- Stocks8%
- Funds87%
- Cash5%
How many clients does Financial Strategies have?
Financial Strategies has 199 clients and manages $150 million for them, as of September 2026. They include 180 individual clients and 19 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 15 September 2026
What services does Financial Strategies offer?
Financial Strategies provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Financial Strategies use?
Financial Strategies’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $138M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 15 September 2026
How many financial advisors does Financial Strategies have?
Financial Strategies has 4 investment adviser representatives registered with state securities authorities, out of 7 employees, and 4 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
What does Financial Strategies invest in?
At the end of its last fiscal year, Financial Strategies’ separately managed accounts held 87% registered funds (mutual funds, ETFs, BDCs), 8% exchange-traded equities and 5% 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 Strategies?
Financial Strategies’ direct owner is James Cantrell (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 15 September 2026
How does Financial Strategies get paid?
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
How do I contact Financial Strategies?
Financial Strategies’ main office is at 13555 Bishops Court, Suite 340, Brookfield, WI 53005. Its phone number is 262-821-1664. Its website is financialstrategiesinc.com.
