Strategic Wealth Investments, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm is a small independent registered investment adviser that works primarily with individuals and high‑net‑worth clients, offering discretionary asset management alongside financial planning and consulting. It also provides advice on held‑away assets such as variable life insurance and annuity contracts and implements third‑party model portfolios through custodial platforms.
Investment programs are tailored to each client’s goals, time horizon, and risk tolerance and may draw on fundamental, charting and cyclical analysis; in many cases the firm implements strategies using models available through the custodian that do not permit client restrictions at the holding level. The firm also offers hourly financial planning, holds public educational seminars and workshops, and conducts periodic account reviews with reporting delivered through the custodian.
Noteworthy aspects include an affiliated insurance business operated by the firm’s principal — who devotes a material portion of time to insurance sales and receives commissions — a relationship the brochure discloses and describes as a potential conflict of interest. The firm’s disclosure also reports a 2025 consent order with a state securities regulator addressing deficiencies in client agreements, fee billing verification and minimum net capital, including a civil penalty and required remedial education that the firm reports has been completed.
Client services
Expertise
Fee options
$0 - $500,000: 1.0% annually $500,001 - $1,000,000: 0.8% annually $1,000,001+: 0.6% annually
Up to $250 per hour for financial planning
Account minimum: $50,000
Main office
338 Ebenzer Road
Knoxville TN 37923
Advisors at this office
1
Most active in
Tennessee
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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
Quick links
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor's Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and referrals are provided by FinanceHQ LLC ("FHQ"), a wholly-owned subsidiary of Warmer and an SEC-registered investment adviser. We may be compensated by participating advisors. You pay no fee to use our matching service, and advisor fees are not increased because of a referral. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to the Warmer Terms of Service and FHQ Advisory Agreement, and acknowledge Warmer's Privacy Policy. Please review FHQ's ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")