Outlook Wealth Advisors, Llc
- Regulatory AUM
- $594M
- Discretionary
- $594M
- Clients
- 569
- Avg AUM / client
- $1.0M
- Accounts
- 2,461
- Employees
- 11
AUM over time
Annual snapshots from Form ADV filings · as of Mar 06, 2026
Investments (13F portfolio — 310 positions, $413,116,334)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Ishares Tr | CORE S&P500 ETF | $18,299,414 | 28,043 | 4.43% | 3.08% |
| 2 | Vanguard Index Fds | VALUE ETF | $16,325,266 | 83,259 | 3.95% | 2.75% |
| 3 | Innovator Etfs Trust | US EQTY BUF SEP | $15,283,769 | 318,020 | 3.7% | 2.57% |
| 4 | Invesco Qqq Tr | UNIT SER 1 | $14,024,505 | 24,305 | 3.39% | 2.36% |
| 5 | Nvidia Corporation | COM | $12,886,162 | 73,879 | 3.12% | 2.17% |
| 6 | Ishares Tr | HIGH YLD SYSTM B | $11,501,864 | 247,330 | 2.78% | 1.94% |
| 7 | Ishares Tr | INTL SEL DIV ETF | $9,986,298 | 234,734 | 2.42% | 1.68% |
| 8 | First Tr Exchng Traded Fd Vi | FT VEST NAS | $9,554,511 | 312,068 | 2.31% | 1.61% |
| 9 | Ishares Tr | CORE S&P SCP ETF | $9,193,335 | 73,975 | 2.23% | 1.55% |
| 10 | Ishares Tr | CORE MSCI EAFE | $8,458,310 | 93,460 | 2.05% | 1.42% |
| 11 | Ishares Tr | JPMORGAN USD EMG | $7,651,121 | 81,501 | 1.85% | 1.29% |
| 12 | Ishares Tr | MSCI EMG MKT ETF | $6,419,371 | 113,067 | 1.55% | 1.08% |
| 13 | Apple Inc | COM | $5,969,189 | 23,520 | 1.44% | 1.01% |
| 14 | Ishares Tr | ISHS 1-5YR INVS | $5,571,742 | 106,063 | 1.35% | 0.94% |
| 15 | Ishares Tr | EAFE VALUE ETF | $5,479,094 | 73,688 | 1.33% | 0.92% |
| 16 | First Tr Exchng Traded Fd Vi | FT VEST U.S EQT | $5,154,835 | 135,262 | 1.25% | 0.87% |
| 17 | Exxon Mobil Corp | COM | $5,079,931 | 29,942 | 1.23% | 0.86% |
| 18 | Aim Etf Products Trust | ALLIANZIM US EQU | $4,288,260 | 117,551 | 1.04% | 0.72% |
| 19 | Aim Etf Products Trust | ALLIANZIM US EQU | $4,117,406 | 107,029 | 1.0% | 0.69% |
| 20 | Ishares Tr | 3YRTB ETF | $4,096,300 | 55,214 | 0.99% | 0.69% |
| 21 | Aim Etf Products Trust | ALLIANZIM US EQU | $4,003,054 | 150,604 | 0.97% | 0.67% |
| 22 | Microsoft Corp | COM | $3,859,835 | 10,427 | 0.93% | 0.65% |
| 23 | Aim Etf Products Trust | ALLIANZIM US EQT | $3,710,839 | 117,474 | 0.9% | 0.63% |
| 24 | State Str Spdr S&P 500 Etf T | TR UNIT | $3,706,938 | 5,700 | 0.9% | 0.62% |
| 25 | Innovator Etfs Trust | NASDAQ 100 MANA | $3,436,964 | 103,212 | 0.83% | 0.58% |
Top 25 of 310 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 381 | $148M | 24.9% |
| High net worth individuals | 188 | $446M | 75.1% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Elsa Cazares | Member | CFP | May 2018 (8y) | GP / trustee / elected manager of Outlook Wealth Financial Services, Llc (indirect) |
| James Allen Neuenschwander | President | CFP | May 2018 (8y) | ≈ 37.5% – 75% via Outlook Wealth Financial Services, Llc |
| Michael Allen Neuenschwander | Member | CFP | May 2018 (8y) | ≈ 18.75% – 50% via Outlook Wealth Financial Services, Llc |
| Fleming, Stacy, Graves | Chief Compliance Officer | Nov 2023 (3y) | Less than 5% | |
| William Lavan Graves | Registered representative | Jan 2024 (3y) | ||
| Cameron Trey Judy | Registered representative | Sep 2025 (1y) | ||
| Nicholas Daniel Castellano | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Outlook Wealth Financial Services, Llc | Owner | May 2018 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- James Allen Neuenschwander: 50% – 75% of Outlook Wealth Financial Services, Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
- Michael Allen Neuenschwander: 25% – 50% of Outlook Wealth Financial Services, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
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) | 03/06/2026 | 1.04 MB | 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $594M (100% 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 06, 2026.
View current Form ADV (SEC/IAPD) ↗