Midwestern Financial, Llc
- Regulatory AUM
- $173M
- Discretionary
- $173M
- Clients
- 135
- Avg AUM / client
- $1.3M
- Accounts
- 548
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 94 | $37.4M | 21.6% |
| High net worth individuals | 41 | $132M | 76.6% |
| Charitable organizations | Fewer than 5 clients | $1.7M | 1.01% |
| Corporations and other businesses | Fewer than 5 clients | $1.4M | 0.79% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joseph Delbert Jay | Registered representative | Sep 2015 (11y) | ||
| Patrick Shihady Campbell | Registered representative | Sep 2015 (11y) | ||
| Andrew Peter Picchietti | Registered representative | Dec 2022 (4y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 960 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $151M (87% of AUM) Mar 2026
- Tiaa Cref Individual & Institutional Services, Llc $19.9M (11% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗