JWK Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$12,233,428
Total clients
17
24% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
17
Average account size
$719,613
About
JWK Financial LLC is an independent, state‑registered advisory firm led by a single advisor that serves individual clients (including high‑net‑worth individuals) and small businesses. The firm offers comprehensive financial planning, limited‑scope and project engagements, and coordinates investment management primarily by recommending and monitoring third‑party money managers.
The adviser uses a mix of passive and active approaches and applies both fundamental and technical analysis when evaluating investments, while delegating day‑to‑day portfolio implementation to selected TAMPs that the firm periodically reviews. Client work is tailored through ongoing or one‑time planning engagements to establish objectives, set asset allocations, and monitor progress over time.
Notably, JWK does not use percentage‑of‑assets (AUM) fee arrangements, instead structuring compensation around stand‑alone planning engagements and fees related to third‑party manager services, an arrangement that is less common among solo independent firms. The practice is also distinctive for its small, concentrated client base and AUM, its reliance on outside managers for discretionary trading, and a sole adviser with CFP certification and prior experience at large financial institutions.
Client services
Financial planning
Portfolio management
Selection of other advisers
Fee options
Comprehensive Financial Planning upfront fee: $3,500-$10,000 depending on complexity; Project-Based Financial Planning fees $2,000-$10,000
$400-$500 per hour for Hourly Financial Planning (negotiable)
Fee-only: Comprehensive Financial Planning ongoing annual fee: $7,000-$12,000 (negotiable); Project-Based Financial Planning: $2,000-$10,000 (negotiable); Hourly Financial Planning: $400-$500 per hour (negotiable)
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 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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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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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.
Main office location
JWK Financial
Long Island City NY, United States
Number of offices
1
Forms ADV
Quick links
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