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GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC

DENVER, CO · CRD 316072 · IAPD ↗ · gwsa.us · 720-420-4870

$457.0MRegulatory AUM
9Advisory reps
10Employees
0Clients
51-100Planning clients
0Private funds
21States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
June 2026 — GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC notice-filed in GA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
February 2026 — GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC notice-filed in NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
March 2025 — GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC reported RAUM up 27% ($290.5M -> $369.6M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
45
December 2024 — GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC notice-filed in NM.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
June 2024 — GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC notice-filed in NV.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
February 2024 — GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
February 2024 — GLOBAL WEALTH STRATEGIES AND ASSOCIATES, LLC reported RAUM up 40% ($207.9M -> $290.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.