Asset Strategy Advisors, Llc
- Regulatory AUM
- $649M
- Discretionary
- $221M
- Clients
- 504
- Avg AUM / client
- $1.3M
- Accounts
- 504
- Employees
- 10
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Asset allocation (SMA assets by investment type)
as of Mar 31, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 191 | $36.6M | 5.64% |
| High net worth individuals | 290 | $193M | 29.7% |
| Pension and profit sharing plans | 23 | $420M | 64.6% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Envestnet 401(k) Retirement Plan Envestnet Financial Technologies, Inc. | 2024 | |
| Southwest Airlines Pilots Retirement Savings Plan Southwest Airlines Company | 2024 | |
| The Groom Construction Co., Inc. 401(k) Plan Groom Construction Co., Inc. | 2024 |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kent Allan Fitzpatrick | Member/Chief Compliance Officer | Jun 2006 (20y) | 75% or more | |
| Rosario Salvatore Salamone | Director Of Research | Dec 2014 (12y) | 5% – 10% | |
| Sean David Whalen | Financial Consultant | CFP | Aug 2020 (6y) | 5% – 10% |
| William D Mahony | Registered representative | Jul 2008 (18y) | ||
| Richard Robert Racine | Registered representative | Chartered Financial Consultant | May 2015 (11y) | |
| David Christopher O'brien | Registered representative | CFP | Aug 2019 (7y) | |
| Bruce Woodman Hardy | Registered representative | Aug 2020 (6y) | ||
| Peter Doherty | Registered representative | Mar 2023 (3y) | ||
| Kaelan C Fitzpatrick | Registered representative | CFP | Jul 2024 (2y) | |
| Timothy Joseph Black | Registered representative | Jul 2024 (2y) | ||
| Jian Wei Fu | Registered representative | CFP | Aug 2024 (2y) | |
| Edward Rosenau | Registered representative | Oct 2025 (1y) | ||
| William Christopher Sargent | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Asset Strategy Holdings, Llc | Holding Company | Aug 2020 | A | 75% or more |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Envestnet 401(k) Retirement Plan | Envestnet Financial Technologies, Inc. | 1,602 | $347M | 01/01/2024 |
| Southwest Airlines Pilots Retirement Savings Plan | Southwest Airlines Company | 11,679 | $11.6B | 01/01/2024 |
| The Groom Construction Co., Inc. 401(k) Plan | Groom Construction Co., Inc. | 156 | $11.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.15 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗