# Farrell Financial, Inc.

> Farrell Financial, Inc. is a state-registered investment advisory firm in Thousand Oaks, CA, registered since 2001, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 26, 2026.

- CRD: 134388
- Filed as: FARRELL FINANCIAL, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Thousand Oaks, CA
- Filing period: October 2026
- Form ADV filing dated: March 26, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/134388
- AdvisorCensus page: https://advisorcensus.com/firm/farrell-financial-inc-thousand-oaks-ca-134388

## Quick answers

**How is Farrell Financial, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Farrell Financial, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Farrell Financial, Inc. located?**
Farrell Financial, Inc.'s principal office is in Thousand Oaks, CA, according to its Form ADV.

**Is Farrell Financial, Inc. registered with the SEC or a state?**
Farrell Financial, Inc. is a state-registered investment advisory firm, registered since 2001. Status as filed: APPROVED. CRD 134388.

**How much does Farrell Financial, Inc. manage?**
Farrell Financial, Inc. reports $73,739,777 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (89% discretionary).

**What types of clients does Farrell Financial, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (98); high net worth individuals (10); pension and profit sharing plans (but not the plan participants or government pension plans) (8).

**Does Farrell Financial, Inc. report any disciplinary disclosures?**
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/134388

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $73,739,777
- Discretionary: $65,375,555
- Non-discretionary: $8,364,222

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 98 | $49,046,851 |
| High net worth individuals | 10 | $15,329,816 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 8 | $9,363,110 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops

### Firm details
- Registered since: 2001 (25 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Farrell Financial, Inc. (CRD 134388): Form ADV filing data as of October 2026.