M
Midwest Financial Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$2,680,530
Clients
13
8% 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
13
TypicalAverage account size
$206,195
About
Midwest Financial Management provides ongoing portfolio management and one‑time financial planning to individuals, high‑net‑worth individuals, and certain state or municipal entities. The firm documents client objectives with an Investment Policy Statement and, although it may request discretionary authority, its December 2024 filing shows $0 in discretionary assets and $2,680,530 in non‑discretionary assets, so the majority of assets are managed non‑discretionarily.
The adviser combines fundamental, technical, charting and cyclical analysis and employs both long‑ and short‑term trading strategies, including the use of margin transactions. Portfolios are monitored against each client’s IPS and the firm describes a policy to seek fair and equitable allocation of investment opportunities among clients.
Noteworthy aspects compared with many peers include a principal who is a licensed insurance agent and may offer commissionable insurance products (a disclosed potential conflict of interest), and the firm’s explicit use of borrowing/leverage in client accounts and discussion of ETF strategies that involve derivatives. The brochure also states that clients are required to use Interactive Brokers as custodian and to execute trades through that broker‑dealer, a practice not universal among independent solo advisers.
Client services
Financial planning
Portfolio management
Expertise
Active portfolio management
Real estate investing
Fee options
Fixed fees for financial planning services negotiated between $75 and $2,000
$0 - $50,000: 2.00% $50,001 - $250,000: 1.65% $250,001 - $1,000,000: 1.50% $1,000,001+: 1.25%
$75 per hour for financial planning services
Main office location
Midwest Financial Management, LLC
Catoosa OK, United States
Number of offices
1
Most active in
Midwest Financial Management, LLC has reported serving >5 clients in these states in the last 12 months.
Oklahoma
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:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
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.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
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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