{
  "crd_number": 331726,
  "slug": "402-financial-331726",
  "primary_business_name": "402 FINANCIAL",
  "legal_name": "YELLOW FINCH, LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2024-06-10",
  "years_registered": 2,
  "period": "2026-10-01",
  "filing_date": "2026-08-06",
  "carried_forward": false,
  "raum_total": 10774791.0,
  "raum_discretionary": 10774791.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 2,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 0.0,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 6482307.0,
      "count": 24
    },
    "high_net_worth_individuals": {
      "raum": 4292484.0,
      "count": null,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "NE"
  ],
  "websites": [
    "https://402financial.com",
    "https://facebook.com/christian.classen.77",
    "https://facebook.com/people/Joe-Fowler/pfbid02BzkB3UepayErqKUkoccPAeqYcQYf6eHeMnjfPR9hq2bUAAVsyfFapxwuvJhAvTWal",
    "https://linkedin.com/company/402-financial/about",
    "https://linkedin.com/in/christian-classen-823b01179",
    "https://linkedin.com/in/joseph-fowler-a21493200",
    "https://youtube.com/@402Financial"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/331726",
  "listing_state": "NE",
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/402-financial-331726",
  "display_name": "402 Financial",
  "summary": "402 Financial is a state-registered investment advisory firm, registered since 2024, reporting under $25 million in regulatory assets under management in its Form ADV filing dated August 6, 2026.",
  "citation": "AdvisorCensus. 402 Financial (CRD 331726): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is 402 Financial compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), 402 Financial reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "Is 402 Financial registered with the SEC or a state?",
      "a": "402 Financial is a state-registered investment advisory firm, registered since 2024. Status as filed: APPROVED. CRD 331726."
    },
    {
      "q": "How much does 402 Financial manage?",
      "a": "402 Financial reports $10,774,791 in regulatory assets under management in its Form ADV filing dated August 6, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does 402 Financial serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (24)."
    },
    {
      "q": "Does 402 Financial report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/331726"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/402-financial-331726.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 24,
      "fewer_than_5": false,
      "raum": 6482307.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": null,
      "fewer_than_5": true,
      "raum": 4292484.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/331726",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}