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

Strauss Financial Group

Independent wealth managerHoover, AlabamaCRD 310512SEC 801-119480websiteIAPD
Legal name Strauss Wealth Advising, Inc.
Latest filing Feb 25, 2026
First filing on the tape Aug 18, 2020 · 14 filings
SEC status approved since Sep 17, 2020
RAUM
$276M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$273M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$92.0M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$276M as of Feb 25, 2026
Jan 13, 2021$160M then
HNW client RAUM$30.0M as of Feb 25, 2026
Jan 13, 2021$86.2M then
State-registered IARs (5.B.3)4 as of Feb 25, 2026
Jan 13, 20214 then
Employees (5.A)6 as of Feb 25, 2026
Jan 13, 20216 then
Private funds: no history
RAUM +15% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$92.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
71derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$30.0MderivedHNW RAUM over HNW clients
Average account
$345,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-6.2%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$243M88%
  • High-net-worth individuals$30.0M11%
  • Charitable organizations$3.0M1.1%
Individual clients
211reported
HNW clients
1reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
800reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
John Arthur StraussHoover, AlNov 24, 202012 y1
John Walter StraussHoover, AlNov 25, 202044 y1
Heidi Beach StraussHoover, AlNov 25, 202042 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Arthur John Strauss · President And Chief Compliance Officercontrol
      since 09/2020 · owns 75% or more
    Related persons
    Schedule D 7.A
    • Lakeview Tax Advisors, LLC
      insurancen
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Hoover, Al · principal300
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • account count surgeChange between filings · filing Feb 25, 2026
      accounts (Item 5.F.2.f) moved from 250.0 to 800.0 (+220.0%) between the annual amendments of 2025-03-16 and 2026-02-25; the peer median change was +5.0% (3688 comparable advisers, 99.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (3,688) · 99% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 250 to 800
      Mar 16, 2025 to Feb 25, 2026
    • Charity clients · 0 to 1
      Mar 16, 2025 to Feb 25, 2026
    • Individual clients · 225 to 211
      Mar 16, 2025 to Feb 25, 2026
    • Discretionary RAUM · $240M to $276M
      Mar 16, 2025 to Feb 25, 2026
    • HNW RAUM · $20.0M to $30.0M
      Mar 16, 2025 to Feb 25, 2026
    • Individual RAUM · $220M to $243M
      Mar 16, 2025 to Feb 25, 2026
    • RAUM · $240M to $276M
      Mar 16, 2025 to Feb 25, 2026
    • Accounts · 705 to 250
      Nov 4, 2024 to Mar 16, 2025
    • Charity clients · 1 to 0
      Nov 4, 2024 to Mar 16, 2025
    • HNW clients · 103 to 1
      Nov 4, 2024 to Mar 16, 2025
    • Individual clients · 141 to 225
      Nov 4, 2024 to Mar 16, 2025
    • Financial planning clients · 0 to 1-10
      Nov 4, 2024 to Mar 16, 2025
    • Discretionary RAUM · $190M to $240M
      Nov 4, 2024 to Mar 16, 2025
    • HNW RAUM · $152M to $20.0M
      Nov 4, 2024 to Mar 16, 2025
    • Individual RAUM · $38.5M to $220M
      Nov 4, 2024 to Mar 16, 2025
    • RAUM · $190M to $240M
      Nov 4, 2024 to Mar 16, 2025
    • Related insurance company · false to true
      Mar 7, 2024 to Oct 19, 2024
    • Accounts · 724 to 705
      Nov 22, 2023 to Mar 7, 2024
    • HNW clients · 1 to 103
      Nov 22, 2023 to Mar 7, 2024
    • Individual clients · 244 to 141
      Nov 22, 2023 to Mar 7, 2024
    • Discretionary RAUM · $162M to $190M
      Nov 22, 2023 to Mar 7, 2024
    • HNW RAUM · $20.0M to $152M
      Nov 22, 2023 to Mar 7, 2024
    • Individual RAUM · $139M to $38.5M
      Nov 22, 2023 to Mar 7, 2024
    • RAUM · $162M to $190M
      Nov 22, 2023 to Mar 7, 2024
    • HQ city · BIRMINGHAM to HOOVER
      Jul 31, 2023 to Nov 22, 2023
    • Accounts · 500 to 724
      Apr 13, 2022 to Mar 19, 2023
    • Individual clients · 220 to 244
      Apr 13, 2022 to Mar 19, 2023
    • Discretionary RAUM · $202M to $162M
      Apr 13, 2022 to Mar 19, 2023
    • HNW RAUM · $30.0M to $20.0M
      Apr 13, 2022 to Mar 19, 2023
    • Individual RAUM · $169M to $139M
      Apr 13, 2022 to Mar 19, 2023
    • RAUM · $202M to $162M
      Apr 13, 2022 to Mar 19, 2023
    • Accounts · 603 to 500
      Apr 18, 2021 to Mar 15, 2022
    • Charity clients · 0 to 1
      Apr 18, 2021 to Mar 15, 2022
    • HNW clients · 44 to 1
      Apr 18, 2021 to Mar 15, 2022
    • Individual clients · 131 to 220
      Apr 18, 2021 to Mar 15, 2022
    • Pension plan clients · 20 to 0
      Apr 18, 2021 to Mar 15, 2022
    • Discretionary RAUM · $160M to $202M
      Apr 18, 2021 to Mar 15, 2022
    • HNW RAUM · $86.2M to $30.0M
      Apr 18, 2021 to Mar 15, 2022
    • Individual RAUM · $67.8M to $169M
      Apr 18, 2021 to Mar 15, 2022
    • Pension RAUM · $6.0M to $0
      Apr 18, 2021 to Mar 15, 2022
    Signals
    2 dated events
    • Martin Nicole Smith left Strauss Financial Group for Oneascent Family Offices (registered 2024-02-15)
      Feb 9, 2024 · Advisor changed firm · fact
    • Strauss Financial Group filed its initial SEC registration (Form ADV)
      Aug 18, 2020 · First SEC registration · fact
    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 phone
    205-967-9595reportedpublished by the firm, firm site, Sep 15, 2026
    Firm profile
    LINKEDIN.COM/COMPANY/STRAUSS-FINANCIAL-GROUP-INCreportedpublic record, Form ADV, Sep 17, 2026
    Website
    STRAUSSFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    (205) 967-9595reportedpublic record, Form ADV, Feb 25, 2026
    Contact form
    straussfinancial.com/contact-10reportedpublished by the firm, firm site, Sep 15, 2026
    Team page
    straussfinancial.com/team-3reportedpublished 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
    $92.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026