A
AWH Financial, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$0
Total clients
7
0% high-net worth
Total advisors
5
of 65 employees
Firm size
Investment Manager
May not manage individual clients
Average clients per advisor
1
Average account size
$0
About
AWH Financial, LLC is an SEC-registered investment adviser that functions exclusively as a solicitor, referring prospective clients to third‑party SEC‑registered advisory firms. It currently solicits clients for a single advisory firm (Equitable Advisors) and does not manage client assets or provide direct investment recommendations.
The firm refers individuals (including retail clients and high‑net‑worth clients) and entities to the recommended adviser based on personal or professional relationships, client requests, and due diligence of the adviser’s suitability and asset allocation processes. AWH does not perform investment analysis, monitor accounts, exercise investment discretion, or custody assets — those responsibilities rest with the advisory firm after onboarding and the solicitor‑client relationship with AWH terminates.
Noteworthy aspects include an affiliation with a corporate and securities law firm owned by a managing member and connections to other adviser‑related businesses that provide model portfolios and back‑office services, arrangements that are less common among firms in this category. The firm also operates an unusually large office network for a solicitor‑only adviser while maintaining a small advisory staff and limited active client roster, and it is compensated by the advised firm through solicitor arrangements rather than by directly charging advisory fees to referred clients.
Client services
Selection of other advisers
Main office location
AWH Financial, LLC
One Belmont Avenue, Suite 1000
Bala Cynwyd PA 19004, United States
Number of offices
31
Most active in
AWH Financial, LLC has reported serving >5 clients in these states in the last 12 months.
California · Connecticut · Delaware · District of Columbia · Hawaii · Illinois · Kansas · Maine · Maryland · Massachusetts · Minnesota · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Oklahoma · Pennsylvania · South Carolina · Texas · Utah · Virginia · Washington · West Virginia · Wisconsin
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:
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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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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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.
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