Great Lakes Financial Strategies, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$4,013,886
Clients
14
7% 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
14
TypicalAverage account size
$286,706
About
Great Lakes Financial Strategies, LLC provides individualized investment management and financial planning to a small client base, including both individual and business clients. The firm offers project‑based and ongoing planning engagements and runs educational seminars and public speaking engagements on personal finance topics.
The firm develops client‑specific investment policies and implements portfolios using a mix of passive and active strategies, strategic asset allocation, and third‑party model portfolios (including a sub‑advisor relationship with XY Investment Solutions and the use of TAMPs). Unlike most peers, the firm reports that the bulk of its assets under management are handled on a non‑discretionary basis, meaning portfolio actions are typically implemented under advisor discretion rather than requiring prior client approval.
Distinctive features include a very small, solo practice serving roughly a dozen clients with about $4 million in reported AUM, a CDFA® designation reflecting specialized training in divorce financial analysis, and a routine offering of seminars and speaking engagements (including occasional pro‑bono presentations). The adviser also discloses modest outside business activities under separate entities, indicating limited additional professional interests beyond the advisory practice.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
General retirement planning
Cash flow / budgeting
College savings (529s, UTMA, etc.)
Business ownership considerations
General estate planning guidance
Occupation focus
Founder/Business Owner
Fee options
Project based financial planning fees range from $500 to $4,500, negotiable
$0 - $1,000,000: 0.85% $1,000,001 - $2,000,000: 0.75% $2,000,001 - $3,000,000: 0.65% $3,000,001+: 0.55%
$0 to $250 per hour depending on complexity
Ongoing financial planning fees range from $100 to $1,000 per month plus an upfront charge up to $2,500
Main office location
Great Lakes Financial Strategies, LLC
Oshkosh WI, United States
Number of offices
1
Most active in
Great Lakes Financial Strategies, LLC has reported serving >5 clients in these states in the last 12 months.
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 not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
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.
-
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.
-
Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
-
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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