Walsh & Associates provides financial planning, portfolio management for individuals and small businesses, and pension consulting.
Walsh & Associates reports 1,324 clients. They include 820 individual clients, 487 high-net-worth individuals, and 9 pension and profit-sharing plans. Of its assets, 100.0% ($828M across 2,571 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $485M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 62% | 23% |
| High-net-worth individuals | 37% | 74% |
| Pension and profit-sharing plans | <1% | 2% |
| Charitable organizations | <1% | <1% |
| Corporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 820 | $192M | 23.2% | $234K |
| High-net-worth individuals | 487 | $616M | 74.4% | $1.26M |
| Pension and profit-sharing plans | 9 | $15.3M | 1.8% | $1.7M |
| Charitable organizations | Fewer than 5 | $889K | 0.1% | $296K |
| Corporations and other businesses | 5 | $4.21M | 0.5% | $842K |
| Total | 1,324 | $828M | 100% | — |
- Clients
- 820
- Regulatory AUM
- $192M
- AUM share
- 23.2%
- Avg. per client
- $234K
- Clients
- 487
- Regulatory AUM
- $616M
- AUM share
- 74.4%
- Avg. per client
- $1.26M
- Clients
- 9
- Regulatory AUM
- $15.3M
- AUM share
- 1.8%
- Avg. per client
- $1.7M
- Clients
- Fewer than 5
- Regulatory AUM
- $889K
- AUM share
- 0.1%
- Avg. per client
- $296K
- Clients
- 5
- Regulatory AUM
- $4.21M
- AUM share
- 0.5%
- Avg. per client
- $842K
Total
- Clients
- 1,324
- Regulatory AUM
- $828M
- AUM share
- 100%
- Avg. per client
- —
- 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
Walsh & Associates charges 0.75%–1.50% a year for its Comprehensive Portfolio Management. The fee is billed in advance, is negotiable and requires an account of at least $500,000. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Red Flag Audit
- Red Flag Audit is a flat fee, generally $1,000 to $10,000, based on the scope and complexity of the engagement.
- Retirement Plan Consulting
- Retirement plan consulting for employer plan sponsors is billed as a percentage of plan assets, not to exceed 1.50%.
Joseph Walsh owns 50% to 75% of Walsh & Associates. It has 15 employees, 9 of them in advisory roles.
Staff
- 15 employees
- 9 in advisory functions
- 9 state-registered reps
- 9 broker-dealer reps
- 1 insurance agent
- Owns 50% to 75% of Walsh & Associates, LLC
Joseph Walsh
Control person · since November 2012
- Owns 10% to 25% of Walsh & Associates, LLC
Michael Walsh
since January 2013
Walsh & Associates’ regulatory assets grew 1.7× from $490M (March 2021) to $828M (March 2026); clients rose from 959 to 1,324 and employees from 13 to 15.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $828M | 1,324 | 15 | 3 |
| Jul 2025July 2025 | $660M | 1,170 | 13 | 2 |
| Mar 2024March 2024 | $574M | 1,111 | 13 | 2 |
| Apr 2023April 2023 | $482M | 1,106 | 13 | 2 |
| Jul 2022July 2022 | $580M | 1,071 | 12 | 2 |
| Mar 2021March 2021 | $490M | 959 | 13 | 2 |
Besides its headquarters, Walsh & Associates has 2 offices, with 3 listed addresses across 2 states.
Illinois · 2 listed addresses
- 444 E. Hillcrest Drive, Dekalb
- 1701 E. Woodfield Road, Schaumburg
Florida · 1 listed address
- 2350 Fruitville RD, Suite 201, SarasotaHQ
Other business names
Walsh & Associates has reported 1 other business name to the SEC.
- Walsh & Associates
Contact and registration details
- Legal name
- Walsh & Associates, LLC
- Headquarters
- 2350 Fruitville RD, Suite 201, Sarasota, FL 34237
- Website
- walshandassociates.com
- Phone
- 941-952-1188
- @walsh-&-associates.
- SEC file
- 801-77605
- Structure
- Florida LLC
- Fiscal year end
- December
Walsh & Associates’ named custodian for separately managed accounts is LPL Financial ($828M). Walsh & Associates has custody of $56.6M for 86 clients.
- LPL FinancialLPL Financial LLC · Boston, MA · $828M100%
At year end, Walsh & Associates’ separately managed accounts were mostly in funds (97%). Its reported 13F holdings for the quarter ended 30 June 2026 total $122M across 245 positions; the largest are iShares Russell (13.9%), State Street (13.1%) and Dimensional US (9.4%).
What the accounts hold
- Stocks1%
- Funds97%
- Cash1%
Filed values cover 99%. The neutral 1% gap has no reported category.
How many clients does Walsh & Associates have?
Walsh & Associates has 1,324 clients and manages $828 million for them, as of March 2026. They include 820 individual clients, 487 high-net-worth individuals, and 9 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 10 March 2026
What services does Walsh & Associates offer?
Walsh & Associates provides financial planning, portfolio management for individuals and small businesses, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Walsh & Associates charge?
Walsh & Associates charges 0.75%–1.50% a year for its Comprehensive Portfolio Management. The fee is billed in advance, is negotiable and requires an account of at least $500,000.
Which custodians does Walsh & Associates use?
Walsh & Associates’ separately managed account assets are held at LPL Financial LLC (Boston, MA), with $828M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 March 2026
How many financial advisors does Walsh & Associates have?
Walsh & Associates has 9 investment adviser representatives registered with state securities authorities, out of 15 employees, and 9 perform investment advisory functions. 9 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Walsh & Associates invest in?
At the end of its last fiscal year, Walsh & Associates’ separately managed accounts held 97% registered funds (mutual funds, ETFs, BDCs), 1% 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
Does Walsh & Associates have a minimum investment?
Yes, Walsh & Associates’ minimum account size for its Comprehensive Portfolio Management is $500K.
Who owns Walsh & Associates?
Walsh & Associates’ direct owners are Joseph Walsh (50% to 75%) and Michael Walsh (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 10 March 2026
How does Walsh & Associates get paid?
Walsh & Associates 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 Walsh & Associates?
Walsh & Associates’ main office is at 2350 Fruitville RD, Suite 201, Sarasota, FL 34237. Its phone number is 941-952-1188. Its website is walshandassociates.com.