Financial Avenues Llc
- Regulatory AUM
- $148M
- Discretionary
- $148M
- Clients
- 97
- Avg AUM / client
- $1.5M
- Accounts
- 409
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 44 | $18.6M | 12.6% |
| High net worth individuals | 50 | $127M | 86.1% |
| Pension and profit sharing plans | 2 | $1.3M | 0.89% |
| Corporations and other businesses | 1 | $641K | 0.43% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Tracy Lee St. John | Registered representative | Jul 2010 (16y) | ||
| Beth Loree Watts | Registered representative | CFP | Nov 2025 (1y) | |
| Anna Grace Brewer | Registered representative | Feb 2026 (0y) | ||
| Jonathan Alexander Moore | Registered representative | Mar 2026 (0y) |
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 980 KB | 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $127M (86% of AUM) Mar 2026
- Vanguard Marketing Corporation $12.3M (8% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
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) ↗