Fleming Wealth Strategies, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$41,277,000
Total clients
70
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
70
Average account size
$589,671
About
The firm is a solo-practitioner independent registered investment adviser that manages approximately $41.3 million for about 70 clients, serving individuals as well as pension plans, trusts, estates, and business entities. Its service menu includes discretionary portfolio management, financial planning and consulting, and pension consulting for employee benefit plans.
The firm constructs and monitors customized portfolios based on each client’s objectives and risk tolerance, using a mix of long- and short-term strategies and, when suitable, options and structured products; accounts are custodied through and often implemented on broker‑dealer platforms, including LPL-sponsored programs and model portfolios. It provides ongoing monitoring and annual reviews and may rebalance portfolios as market conditions or client circumstances change.
Distinctive features disclosed in the brochure include a formal pension consulting practice that provides plan-level advice, fund selection assistance, performance monitoring, and participant education (enrollment meetings and seminars on diversification, asset allocation, risk tolerance and time horizon). The sole advisor also maintains broker‑dealer registration and insurance licensure, which the firm discloses can result in commission‑based compensation for insurance sales and influence use of LPL custody and programs—conflicts the firm describes and addresses in its disclosure.
Client services
Financial planning
Portfolio management
Pension consulting
Newsletters or periodicals
Educational seminars or workshops
Expertise
Options & derivatives strategies
Annuities
Retirement plans for business owners (SEP, solo 401k)
Occupation focus
Founder/Business Owner
Executive
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%
Commission-based compensation earned by Timothy F. Fleming for selling insurance products such as term insurance, disability insurance, annuities, or long-term care insurance; 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 minimum
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:
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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.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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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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