DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Strategic Financial Services
Legal name Strategic Financial Services, Inc.
Latest filing Mar 26, 2026
First filing on the tape Mar 29, 2012 · 37 filings
SEC status approved since Feb 17, 1989
RAUM
$2.8B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
70%
$2.0B individuals and HNW
Advisors
28
registered through the firm on IAPD
RAUM per advisor
$100M
derived; firm RAUM over IAPD count
Employees
39
26 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$2.8B as of Mar 26, 2026
Mar 29, 2012$511M then
HNW client RAUM$1.7B as of Mar 26, 2026
Mar 29, 2018$231M then
State-registered IARs (5.B.3)25 as of Mar 26, 2026
Mar 29, 20120 then
Employees (5.A)39 as of Mar 26, 2026
Apr 1, 201327 then
Private funds: no history
RAUM +23% over the last fiscal year+19% a year over threeIARs 23 to 25
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $100MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $782,273derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +8.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $177M, 88 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B62%
- Pension and profit-sharing plans$559M20%
- Individuals$227M8.1%
- Corporations and businesses$215M7.7%
- Charitable organizations$56.2M2.0%
- Individual clients
- 715reported
- HNW clients
- 501reported
- Pension plan clients
- 80reported
- Charitable clients
- 7reported
- Accounts
- 3,589reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $177M for 88 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
28 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Alan Remy LeistCertified Financial Planner | West Palm Beach, Fl | Jan 6, 2011 | 46 y | 2 |
| Alan Remy LeistChartered Financial Analyst | Utica, Ny | May 20, 2014 | 31 y | 0 |
| Aaron R EvansCertified Financial Planner, Chartered Financial Analyst | Utica, Ny | Sep 11, 2020 | 13 y | 0 |
| Francesca Mae AsherCertified Financial Planner | Utica, Ny | Aug 20, 2021 | 10 y | 0 |
| Michael Jason McgrawCertified Financial Planner | Utica, Ny | Aug 20, 2021 | 15 y | 0 |
| Laura Ellen PowersChartered Financial Consultant | Utica, Ny | Sep 4, 2021 | 23 y | 0 |
| Melissa J Fernalld | Utica, Ny | Sep 7, 2021 | 18 y | 0 |
| Douglas Scott WaltersChartered Financial Analyst | Utica, Ny | Nov 10, 2021 | 19 y | 0 |
| David S LemireChartered Financial Analyst | Utica, Ny | Nov 10, 2021 | 15 y | 0 |
| Gregory Allen MattacolaCertified Financial Planner | Utica, Ny | Nov 18, 2021 | 10 y | 0 |
| Judith Vicks-SweetChartered Financial Analyst | Utica, Ny | Dec 8, 2021 | 37 y | 0 |
| Gregory Tedone | Rochester, Ny | Mar 9, 2022 | 14 y | 4 |
| Cody CarnayaCertified Financial Planner | Utica, Ny | Apr 29, 2022 | 14 y | 0 |
| Curtis Michael Pearsall | Utica, Ny | Jun 13, 2022 | 17 y | 0 |
| Connor Francis Gaffney | Utica, Ny | Nov 16, 2022 | 12 y | 0 |
| Jacob Hans Storsberg | Utica, Ny | Mar 24, 2023 | 14 y | 0 |
| Kyle J DempsterCertified Financial Planner | Utica, Ny | Mar 28, 2023 | 14 y | 0 |
| Shannon M Cool | Utica, Ny | May 31, 2024 | 12 y | 0 |
| Nicholas A AccordinoCertified Financial Planner | Utica, Ny | Jul 9, 2024 | 12 y | 0 |
| Benjamin D Petell | Utica, Ny | Nov 22, 2024 | 20 y | 0 |
| Matthew Taylor Johnson | Utica, Ny | Jan 17, 2025 | 12 y | 2 |
| Justin HeartyCertified Financial Planner | Utica, Ny | May 25, 2025 | 11 y | 0 |
| Emma Uvanni | Utica, Ny | Nov 21, 2025 | 10 y | 0 |
| Alexys E JacobsCertified Financial Planner | Utica, Ny | Nov 26, 2025 | 11 y | 0 |
| Sarah A Owens | Utica, Ny | Dec 26, 2025 | 11 y | 0 |
| Tobias C Jeralds | Utica, Ny | Aug 6, 2026 | 10 y | 0 |
| Anthony J Pasqualetti | Utica, Ny | Aug 6, 2026 | 10 y | 0 |
| Michael Panzer | Utica, Ny | Aug 18, 2026 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.6% of current headcount1 left over 36 months
Left, latest
- Sophia G Tsoupelis to Ascent Wealth Partners, LLCNov 4, 2025 · RIA to RIA
- Bradford A Kerr to Destiny Wealth Partners, LLCAug 2, 2023 · RIA to RIA
- William A Rust to Morgan StanleyOct 21, 2022 · RIA to wirehouse
- Joseph Dominick Summa to Ascent Wealth Partners, LLCNov 11, 2011 · Other
Joined, latest
- Matthew Taylor Johnson from Cadaret Grant & Co IncJan 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- Bradford A Kerr from Charles Schwab & Co., Inc.Jun 20, 2022 · Affiliated broker-dealer or bank to independent RIA
- Gregory Tedone from Wealth Enhancement Advisory Services, LLCMar 9, 2022 · Affiliated broker-dealer or bank to independent RIA
- William A Rust from Amundi Pioneer Institutional Asset Management, Inc.Sep 8, 2021 · Other
- Alan Remy Leist from Alan R. Leist Planning GroupJan 6, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Remy Alan Leist · Ceocontrolsince 05/2019 · owns less than 5%
- R Aaron Evans · Senior Advisorsince 10/2018 · owns 5% to 10%
- Judith Vicks-Sweet · Presidentsince 10/1988 · owns 5% to 10%
- Scott Douglas Walters · Chief Investment Officersince 06/2014 · owns 5% to 10%
- John Kasey Williams · Chief Compliance Officersince 07/2011 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Utica, Ny · principal | 28 | 6 | 1 | ||
| Rome, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Syracuse, NY8 employees
- Rome, NY3 employees
- Little Falls, NY2 employees
- Rochester, NY1 employees
- West Palm Beach, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 26, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-11-21, yes on the filing of 2026-03-26peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 3,368 to 3,589Nov 21, 2025 to Mar 26, 2026
- Advisory employees · 25 to 26Nov 21, 2025 to Mar 26, 2026
- Advisory activities · 4 to 6Nov 21, 2025 to Mar 26, 2026
- Corporate clients · 32 to 33Nov 21, 2025 to Mar 26, 2026
- HNW clients · 465 to 501Nov 21, 2025 to Mar 26, 2026
- Individual clients · 700 to 715Nov 21, 2025 to Mar 26, 2026
- Pension plan clients · 73 to 80Nov 21, 2025 to Mar 26, 2026
- Assets in custody · $184M to $177MNov 21, 2025 to Mar 26, 2026
- Employees · 37 to 39Nov 21, 2025 to Mar 26, 2026
- State-registered IARs · 23 to 25Nov 21, 2025 to Mar 26, 2026
- Discretionary RAUM · $2.2B to $2.7BNov 21, 2025 to Mar 26, 2026
- HNW RAUM · $1.4B to $1.7BNov 21, 2025 to Mar 26, 2026
- Individual RAUM · $193M to $227MNov 21, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $116M to $148MNov 21, 2025 to Mar 26, 2026
- Pension RAUM · $454M to $559MNov 21, 2025 to Mar 26, 2026
- RAUM · $2.3B to $2.8BNov 21, 2025 to Mar 26, 2026
- Accounts · 3,133 to 3,368Mar 27, 2024 to Apr 16, 2025
- Advisory employees · 20 to 25Mar 27, 2024 to Apr 16, 2025
- Charity clients · 8 to 7Mar 27, 2024 to Apr 16, 2025
- Corporate clients · 33 to 32Mar 27, 2024 to Apr 16, 2025
- HNW clients · 714 to 465Mar 27, 2024 to Apr 16, 2025
- Individual clients · 415 to 700Mar 27, 2024 to Apr 16, 2025
- Pension plan clients · 59 to 73Mar 27, 2024 to Apr 16, 2025
- Assets in custody · $148M to $184MMar 27, 2024 to Apr 16, 2025
- Employees · 35 to 37Mar 27, 2024 to Apr 16, 2025
- Financial planning clients · More than 500 to More than 500Mar 27, 2024 to Apr 16, 2025
- State-registered IARs · 19 to 23Mar 27, 2024 to Apr 16, 2025
- Discretionary RAUM · $1.8B to $2.2BMar 27, 2024 to Apr 16, 2025
- HNW RAUM · $181M to $1.4BMar 27, 2024 to Apr 16, 2025
- Individual RAUM · $1.2B to $193MMar 27, 2024 to Apr 16, 2025
- Non-discretionary RAUM · $137M to $116MMar 27, 2024 to Apr 16, 2025
- Pension RAUM · $367M to $454MMar 27, 2024 to Apr 16, 2025
- RAUM · $2.0B to $2.3BMar 27, 2024 to Apr 16, 2025
- Accounts · 2,950 to 3,133Nov 17, 2023 to Mar 27, 2024
- Charity clients · 5 to 8Nov 17, 2023 to Mar 27, 2024
- HNW clients · 420 to 714Nov 17, 2023 to Mar 27, 2024
- Individual clients · 670 to 415Nov 17, 2023 to Mar 27, 2024
- Pension plan clients · 40 to 59Nov 17, 2023 to Mar 27, 2024
- Commission compensation · true to falseNov 17, 2023 to Mar 27, 2024
- Assets in custody · $107M to $148MNov 17, 2023 to Mar 27, 2024
Signals
4 dated events
- Sophia G Tsoupelis left Strategic Financial Services for Ascent Wealth Partners, Llc (registered 2025-11-24)Nov 4, 2025 · Advisor changed firm · fact
- Bradford A Kerr left Strategic Financial Services for Destiny Wealth Partners, Llc (registered 2023-12-05)Aug 2, 2023 · Advisor changed firm · fact
- William A Rust left Strategic Financial Services for Morgan Stanley (registered 2022-12-06)Oct 21, 2022 · Advisor changed firm · fact
- Strategic Financial Services reported 16 state-registered advisory representatives, up from 3 (2022-02-15 to 2022-03-31)Mar 31, 2022 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@investstrategic.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 315-724-1776reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 315-735-7739reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-937-4461reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/STRATEGIC-FINANCIAL-SERVICESreportedpublic record, Form ADV, Sep 17, 2026
- Website
- INVESTSTRATEGIC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (315)724-1776reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- investstrategic.com/contact/get-startedreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- investstrategic.com/about/teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $100Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026