# Farrell Financial

> Farrell Financial is an SEC-registered investment advisory firm in Orchard Park, NY, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 11, 2026.

- CRD: 321609
- Filed as: FARRELL FINANCIAL
- Legal name: Farrell Financial LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Orchard Park, NY
- Filing period: October 2026
- Form ADV filing dated: August 11, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/321609
- AdvisorCensus page: https://advisorcensus.com/firm/farrell-financial-orchard-park-ny-321609

## Quick answers

**How is Farrell Financial compensated?**
On its Form ADV (Item 5.E, October 2026), Farrell Financial reports these compensation arrangements: a percentage of assets under its management.

**How much does Farrell Financial charge?**
Its Form ADV Part 2A brochure dated February 3, 2026 states: Asset-based fee: up to 1% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Farrell Financial located?**
Farrell Financial's principal office is in Orchard Park, NY, according to its Form ADV.

**Is Farrell Financial registered with the SEC or a state?**
Farrell Financial is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 321609.

**How much does Farrell Financial manage?**
Farrell Financial reports $200,627,067 in regulatory assets under management in its Form ADV filing dated August 11, 2026 (100% discretionary).

**How have Farrell Financial's assets and staff changed since 2022?**
In the Form ADV data for Farrell Financial: Regulatory assets under management: $114,000,000 in the October 2022 data and $200,627,067 in the October 2026 data, up 76%. Total employees: 2 in October 2022 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Farrell Financial serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (189); high net worth individuals (44).

**Which custodians does Farrell Financial use?**
Farrell Financial's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Farrell Financial report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/321609

**Does Farrell Financial state an account minimum?**
Its Form ADV Part 2A brochure dated February 3, 2026 says: "The Advisor does not have any minimum requirements for opening or maintaining an account."

**What changed in Farrell Financial's recent Form ADV filings?**
In the September 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated February 3, 2026)

- Asset-based fee: up to 1% of assets a year (the maximum the brochure states)

> the client will pay Farrell Financial a management fee of up to 1.0% per annum, payable monthly in advance, based on the value of portfolio assets of the account managed by the Advisor

- Account minimum: None

> The Advisor does not have any minimum requirements for opening or maintaining an account.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $200,627,067
- Discretionary: $200,627,067
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 189 | $74,180,529 |
| High net worth individuals | 44 | $125,915,704 |
| Charitable organizations | Fewer than 5 | $530,834 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2022 (4 years)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, LA, MA, NY, RI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- farrellfinancialllc.com
- LinkedIn @farrell-financial-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $114,000,000 | 2 | September 14, 2022 |
| October 2023 | $112,000,000 | 2 | July 31, 2023 |
| October 2024 | $142,199,838 | 2 | July 18, 2024 |
| October 2025 | $172,203,721 | 2 | February 13, 2025 |
| October 2026 | $200,627,067 | 3 | August 11, 2026 |

Regulatory assets under management: $114,000,000 in the October 2022 data and $200,627,067 in the October 2026 data, up 76%.
Total employees: 2 in October 2022 and 3 in October 2026.

## Changes in the filing (last 12 months)

### September 2026
- Updated its list of owners and control persons (Schedule A).

### July 2026
- Employees performing advisory functions went from 2 to 3.

### March 2026
- Regulatory assets under management went from $172,203,721 to $200,627,067 (+17%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Farrell Financial (CRD 321609): Form ADV filing data as of October 2026.