Financial Strategies Group

Overview

Financial Strategies Group is an SEC registered investment adviser based in Fargo, ND, registered since 2006. It reports $189M in assets under management across 1,346 accounts, with 10 employees. It has 4 investment adviser representatives.

Reported AUM

$189M

Discretionary

99%

Accounts

1,346

Average account

$141K

Employees

10

Advisory reps

4

Registered since

2006

Jurisdictions

11

As reported in the firm's May 2026 filing.

Contact

1 phone number on file

Practice

Services

• Financial Planning
• Individuals or Small Business
• Other Advisory Services
• Selection of Other Advisors

Client types

• High Net Worth Individuals
• Individuals

Fee structure

Fixed Fees, Hourly Charges and Percentage of Assets

Executive officers 3 of 3

• Craig Alan Rottman Managing Member CRD 4647293
• Michael Victor Young Managing Member CRD 3242751
• Ashleigh Cooper Swayze Chief Compliance Officer CRD 4632543

Advisory reps 3 of 4

• Austin Thomas Avery Insurance Agent · Registered Rep · Investment Adviser Rep CRD 7263602
• Craig A Rottman Insurance Agent · Investment Adviser Rep CRD 4647293
• Douglas G Schmitz Insurance Agent · Investment Adviser Rep CRD 1771132

1 more advisory rep, with emails, phones and branch locations

Location

Headquarters

1220 28th Ave N
Fargo, ND 58102

County

Cass

Metro area

Fargo, ND-MN

Region

Midwest

Registrations

• SEC registered
• Registered in 11 jurisdictions
• Website: finstrat.com

Every state, with registration dates

Similar firms near Fargo

• Prairiewood Wealth ManagementFargo, ND$365M AUM
• Wealth Forward, LLCFargo, ND$228M AUM
• Fjell CapitalFargo, ND$187M AUM
• Light Financial Services, Inc.Fargo, ND$176M AUM
• Complete Investment Advisory, LLCFargo, ND$109M AUM