Fee-only adviser · Sanford, NC
West Financial Strategies, Inc.
West Financial Strategies, Inc. is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in Sanford, North Carolina. On its latest Form ADV, filed May 8, 2026, it reports $121M in regulatory assets under management, 137 individual clients and 2 employees who give investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | SEC-registered |
|---|---|
| Firm CRD number | 118241 · SEC file 801-136450 |
| Office | 301 Court Square Sanford, NC 27330 |
| Phone | (919) 774-8664 |
| Website | westfinancialstrategies.com |
| Regulatory assets under management | $121M |
| Individual clients | 91 non-high-net-worth, 46 high-net-worth |
| Financial planning clients | Not reported |
| How it charges | Percentage of assets |
| Services | Portfolio management |
| Employees | 3 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | May 8, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It charges only as a percentage of the assets it manages. Ask about the fee schedule and any account minimum, which Form ADV Part 1 does not record.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
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