Fleming Wealth Strategies, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$46,897,000
Clients
68
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
68
Very HighAverage account size
$689,662
About
Fleming Wealth Strategies provides investment advisory and financial planning services to individuals, retirement plans, trusts, estates, charitable organizations, and business entities. The firm reports managing approximately $46.9 million for roughly 70 clients and offers portfolio management, financial planning/consulting, and pension consulting services tailored to client needs.
The firm typically manages accounts on a discretionary basis, developing customized portfolios, monitoring performance, and rebalancing as market conditions or client circumstances change; it may employ fundamental and cyclical analysis and occasionally use short-term trading or options when suitable. Fleming Wealth Strategies also offers access to LPL-sponsored model and allocation programs (Optimum Market Portfolios and Model Wealth Portfolios) and conducts at least annual reviews with clients.
Notable distinctions include the adviser’s dual registration as a registered representative of a broker-dealer (LPL Financial) and licensure to sell insurance products, which can generate commission-based compensation in addition to advisory fees. The firm also provides pension plan consulting with participant education and seminars (not offered to the public) and distributes periodicals/newsletters—services that are relatively uncommon among similar independent advisory firms.
Client services
Financial planning
Portfolio management
Pension consulting
Newsletters or periodicals
Educational seminars or workshops
Expertise
Options & derivatives strategies
Retirement plans for business owners (SEP, solo 401k)
Occupation focus
Founder/Business Owner
Fee options
$0 - $250,000: 1.50% $250,001 - $2,000,000: 1.25% $2,000,001 - $5,000,000: 0.90% $5,000,001+: 0.60%
Insurance commissions earned by Mr. Fleming for selling insurance products such as term insurance, disability insurance, annuities, or long-term care insurance; commissions are separate and in addition to advisory fees.
Starting at $250.00 per hour for financial planning or consulting services, negotiable depending on scope and complexity.
Account minimum: $250,000
Main office location
Fleming Wealth Strategies, LLC
19420 N. 59 Th Avenue, Suite B247
Glendale AZ 85308, United States
Number of offices
1
Most active in
Fleming Wealth Strategies, LLC has reported serving >5 clients in these states in the last 12 months.
Arizona
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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