Strategic Financial Services provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, and educational seminars. Financial planning was provided to 1,000 clients last fiscal year.
Strategic Financial Services reports 1,336 clients. They include 715 individual clients, 501 high-net-worth individuals, and 80 pension and profit-sharing plans. Of its assets, 94.7% ($2.66B across 3,576 accounts) are managed with discretion; $148M across 13 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 54% | 8% |
| High-net-worth individuals | 38% | 62% |
| Pension and profit-sharing plans | 6% | 20% |
| Charitable organizations | <1% | 2% |
| Corporations and other businesses | 2% | 8% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 715 | $227M | 8.1% | $317K |
| High-net-worth individuals | 501 | $1.75B | 62.3% | $3.49M |
| Pension and profit-sharing plans | 80 | $559M | 19.9% | $6.99M |
| Charitable organizations | 7 | $56.2M | 2.0% | $8.04M |
| Corporations and other businesses | 33 | $215M | 7.7% | $6.53M |
| Total | 1,336 | $2.81B | 100% | $2.1M |
- Clients
- 715
- Regulatory AUM
- $227M
- AUM share
- 8.1%
- Avg. per client
- $317K
- Clients
- 501
- Regulatory AUM
- $1.75B
- AUM share
- 62.3%
- Avg. per client
- $3.49M
- Clients
- 80
- Regulatory AUM
- $559M
- AUM share
- 19.9%
- Avg. per client
- $6.99M
- Clients
- 7
- Regulatory AUM
- $56.2M
- AUM share
- 2.0%
- Avg. per client
- $8.04M
- Clients
- 33
- Regulatory AUM
- $215M
- AUM share
- 7.7%
- Avg. per client
- $6.53M
Total
- Clients
- 1,336
- Regulatory AUM
- $2.81B
- AUM share
- 100%
- Avg. per client
- $2.1M
- 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
- 1000
Strategic Financial Services charges 0.45%–1.50% for its Wealth Management Services. The brochure does not state whether the rate is annual. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.
| Asset band | Rate (period not stated) |
|---|---|
| $0–$250K | 1.50% |
| $250K–$2M | 0.90% |
| $2M–$5M | 0.70% |
| $5M–$15M | 0.50% |
| $15M and above | 0.45% |
Fee details and sources
Alan R. Leist, III Revocable Trust owns 50% to 75% of Strategic Financial Services and is in turn owned by Alan Leist (50–75%). The leadership team of Strategic Financial Services includes Chief Compliance Officer Kasey Williams. It has 39 employees, 26 of them in advisory roles.
Leadership
- Kasey WilliamsChief Compliance Officer
- Alan LeistCEO
- Aaron EvansSenior Advisor
- Douglas WaltersChief
Investment adviser representatives
28 representatives listed in the SEC register as of 9 October 2026.
- Nicholas A Accordino
- Francesca Mae Asher
- Cody Carnaya
- Shannon M Cool
- Kyle J Dempster
- Aaron R Evans
- Melissa J Fernalld
- Connor Francis Gaffney
- Justin Hearty
- Alexys E Jacobs
- Tobias C Jeralds
- Matthew Taylor Johnson
- Alan Remy Leist JR
- Alan Remy Leist III
- David S Lemire
- Gregory Allen Mattacola
- Michael Jason McGraw
- Sarah A Owens
- Michael Panzer
- Anthony J Pasqualetti
- Curtis Michael Pearsall
- Benjamin D Petell
- Laura Ellen Powers
- Jacob Hans Storsberg
- Gregory Tedone
- Emma Uvanni
- Judith Vicks-Sweet
- Douglas Scott Walters
Staff
- 39 employees
- 26 in advisory functions
- 25 state-registered reps
- 1 soliciting firm
- Owns 50% to 75% of Strategic Financial Services, Inc.
Alan R. Leist, III Revocable Trust
Control person · since June 2021
- Owns 50% to 75% of Alan R. Leist, III Revocable Trust
Alan Leist
Control person · since June 2021
- Owns 5% to 10% of Strategic Financial Services, Inc.
Kasey Williams
since July 2011
- Owns 5% to 10% of Strategic Financial Services, Inc.
Aaron Evans
since October 2018
- Owns 5% to 10% of Strategic Financial Services, Inc.
Douglas Walters
since June 2014
Strategic Financial Services’ regulatory assets grew 1.8× from $1.58B (March 2021) to $2.81B (March 2026); clients rose from 1,057 to 1,336 and employees from 35 to 39.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $2.81B | 1,336 | 39 | 6 |
| April 2025 | $2.28B | 1,277 | 37 | 6 |
| March 2024 | $1.96B | 1,229 | 35 | 6 |
| March 2023 | $1.66B | 1,168 | 35 | 6 |
| July 2022 | $1.85B | 1,109 | 33 | 6 |
| March 2021 | $1.58B | 1,057 | 35 | 3 |
Besides its headquarters, Strategic Financial Services has 5 offices, with 6 listed addresses in Florida and New York.
New York · 5 listed addresses
- 114 Business Park Drive, UticaHQ
- 5788 Widewaters Parkway, Syracuse
- 1320 Floyd Avenue, Rome
- 690 East Main Street, Little Falls
- 100 S Clinton Ave, Rochester
Florida · 1 listed address
- 224 Datura St, West Palm Beach
Contact and registration details
- Legal name
- Strategic Financial Services, Inc.
- Headquarters
- 114 Business Park Drive, Utica, NY 13502
- Website
- investstrategic.com
- Phone
- 315-724-1776
- @strategic-financial-services
- SEC file
- 801-33774
- Structure
- New York corporation
- Fiscal year end
- December
Strategic Financial Services uses Charles Schwab ($1.58B) as custodian for its separately managed accounts. Strategic Financial Services has custody of $177M in client assets for 88 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Orlando, FL · $1.58B100%
At year end, Strategic Financial Services’ separately managed accounts were mostly in funds (89%). Its reported 13F holdings for the quarter ended 30 June 2026 total $2.28B across 157 positions; the largest are iShares TR (15.5%), iShares TR (14.7%) and iShares TR (13.2%).
What the accounts hold
- Stocks7%
- Funds89%
- Bonds2%
- U.S. government and agency bonds1%
- Investment grade corporate bonds1%
- Cash2%
Reported 13F holdings
- $2.28B
- Reported 13F value
- 157
- Positions
- 74.6%
- In the 10 largest
- +8.6%
- Value vs. prior quarter
- iShares TR · Intl Eqty Factor15.5%
- iShares TR · US Sml Cap EQT14.7%
- iShares TR · U S Equity Factr13.2%
- Vanguard Scottsdale Fds · Inter Term Treas7.2%
- iShares Inc. · Emng Mkts EQT5.7%
- Vanguard Scottsdale Fds · Shrt Trm Corp. BD5.3%
- Vanguard Malvern Fds · Strm Infproidx3.4%
- Vanguard Scottsdale Fds · Long Term Treas3.2%
- Vanguard Scottsdale Fds · Int-term Corp.3.2%
- iShares TR · MSCI USA Mmentm3.1%
Together, the ten largest are 74.6% of reported value.
How many clients does Strategic Financial Services have?
Strategic Financial Services has 1,336 clients and manages $2.81 billion for them, as of March 2026. They include 715 individual clients, 501 high-net-worth individuals, and 80 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026
What services does Strategic Financial Services offer?
Strategic Financial Services provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, and educational seminars.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Strategic Financial Services charge?
Strategic Financial Services charges 0.45%–1.50% for its Wealth Management Services. The brochure does not state whether the rate is annual. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.
Source: STRATEGIC FINANCIAL SERVICES BROCHURE, filed 26 March 2026
Which custodians does Strategic Financial Services use?
Strategic Financial Services’ separately managed account assets are held at Charles Schwab & Co., Inc. (Orlando, FL), with $1.58B. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 March 2026
How many financial advisors does Strategic Financial Services have?
Strategic Financial Services has 25 investment adviser representatives registered with state securities authorities, out of 39 employees, and 26 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 Strategic Financial Services invest in?
At the end of its last fiscal year, Strategic Financial Services’ separately managed accounts held 89% registered funds (mutual funds, ETFs, BDCs), 7% exchange-traded equities, 2% cash and equivalents, 1% U.S. government and agency bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Strategic Financial Services?
Strategic Financial Services is owned through a trust by Alan Leist. Its direct owners are Kasey Williams (5% to 10%), Aaron Evans (5% to 10%), Douglas Walters (5% to 10%) and Alan R. Leist, III Revocable Trust (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 26 March 2026
How does Strategic Financial Services get paid?
Strategic Financial Services 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
How do I contact Strategic Financial Services?
Strategic Financial Services’ main office is at 114 Business Park Drive, Utica, NY 13502. Its phone number is 315-724-1776. Its website is investstrategic.com.