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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

STRAUSS FINANCIAL GROUP, INC.

CRD 109586

BIRMINGHAM, AL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:15db09d6-2e36-3b49-3c6f-6a14112bbbe8

Data as of Jun 10, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Mar 15, 2012 to Jun 10, 2020
12 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $139MItem 5.F on the latest filing (2020-06-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $139M
Private client RAUM: $98.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 71%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 650
Individual clients: 40
High net worth clients: 150
Custody, client assets: $7.5M
SEC number: 801-96209
CRD: 109586
Filings on the tape: 12
First filed: Mar 15, 2012
Latest filed: Jun 10, 2020
Organised: Corporation, Alabama

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
STRAUSS, HEIDI, BEACH	PRESIDENT/CHIEF COMPLIANCE OFFICER	C	yes	05/1988	Mar 15, 2012	Jun 10, 2020
STRAUSS, JOHN, WALTER	VICE PRESIDENT	C	yes	05/1988	Mar 15, 2012	Jun 10, 2020
STRAUSS, JOHN, ARTHUR	CO-OWNER	A	no	08/2018	Feb 27, 2019	Jun 10, 2020

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 30, 2020	$139M	$139M	6	4	0	n/a	n/a
2018	Feb 27, 2019	$124M	$124M	8	5	0	n/a	n/a
2017	Mar 27, 2018	$109M	$109M	6	4	0	n/a	n/a
2016	Feb 24, 2017	$103M	$103M	6	3	n/a	n/a	n/a
2015	Feb 16, 2016	$101M	$101M	5	3	n/a	n/a	n/a
2011	Mar 15, 2012	$70.0M	$70.0M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$139M	$124M	12.1%	$103M	10.5%	6	8	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
STRAUSS FINANCIAL GROUP	4	Nov 24, 2020	Nov 25, 2020	BIRMINGHAM, AL	Firm absorbed	RIA to new firm	100.0%

Relationships

Controls (2)

← STRAUSS, HEIDI, BEACHOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 15, 2012 to presentfactForm ADV
← STRAUSS, JOHN, WALTEROwnerVICE PRESIDENT, ownership code C, individual
Mar 15, 2012 to presentfactForm ADV

Owns (1)

← STRAUSS, JOHN, ARTHUROwnerCO-OWNER, ownership code A, individual
Feb 27, 2019 to presentfactForm ADV

Moved with (1)

→ STRAUSS FINANCIAL GROUPRegistered adviser4 advisors, firm absorbed, same day
Nov 24, 2020 to Nov 25, 2020factForm ADV

Registered with (4)

← HEIDI BEACH STRAUSSAdvisorregistration: previous registration
Dec 8, 2008 to Nov 24, 2020factForm ADV
← JOHN ARTHUR STRAUSSAdvisorregistration: previous registration
Oct 31, 2013 to Nov 24, 2020factForm ADV
← JOSH Scott VANFLETERENAdvisorregistration: previous registration
May 9, 2017 to Nov 24, 2020factForm ADV
← JOHN WALTER STRAUSSAdvisorregistration: previous registration
Dec 8, 2008 to Nov 24, 2020factForm ADV

Dated events

Occurred
Apr 21, 2015
First Form ADV filing
Strauss Financial Group, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:15db09d6-2e36-3b49-3c6f-6a14112bbbe8
First observed: Mar 15, 2012
Last observed: Jun 10, 2020 76 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

STRAUSS FINANCIAL GROUP, INC.

CRD 109586

BIRMINGHAM, AL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:15db09d6-2e36-3b49-3c6f-6a14112bbbe8

Data as of Jun 10, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:51 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

STRAUSS, HEIDI, BEACH

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

05/1988

Mar 15, 2012

Jun 10, 2020

STRAUSS, JOHN, WALTER

VICE PRESIDENT

yes

05/1988

Mar 15, 2012

Jun 10, 2020

STRAUSS, JOHN, ARTHUR

CO-OWNER

08/2018

Feb 27, 2019

Jun 10, 2020

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 30, 2020

$139M

n/a

2018

Feb 27, 2019

$124M

n/a

2017

Mar 27, 2018

$109M

n/a

2016

Feb 24, 2017

$103M

n/a

2015

Feb 16, 2016

$101M

n/a

2011

Mar 15, 2012

$70.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$139M

$124M

12.1%

$103M

10.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

STRAUSS FINANCIAL GROUP

Nov 24, 2020

Nov 25, 2020

BIRMINGHAM, AL

Firm absorbed

RIA to new firm

100.0%