{ "crd_number": 150697, "slug": "finaccess-advisors-llc-miami-fl-150697", "primary_business_name": "FINACCESS ADVISORS LLC", "legal_name": "FINACCESS ADVISORS LLC", "dbas": [], "city": "Miami", "state": "FL", "country": "United States", "cbsa_code": "33100", "metro": { "cbsa_code": "33100", "common_name": "Miami", "msa_name": "Miami-Fort Lauderdale-West Palm Beach, FL", "path": "/advisors/fl/miami" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2009-12-17", "years_registered": 16, "period": "2026-10-01", "filing_date": "2026-08-25", "carried_forward": false, "raum_total": 4113584758.0, "raum_discretionary": 593165848.0, "raum_non_discretionary": 3520418910.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 13, "advisory_employees": 7, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 75619533.0, "count": 10, "description": "TRUSTS" }, "individuals": { "raum": 20821.0, "count": 2, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 1075081696.0, "count": 75 }, "pooled_investment_vehicles": { "raum": 2840044895.0, "count": 12 }, "corporations_other_businesses": { "raum": 122817813.0, "count": 2, "fewer_than_5": true } }, "compensation_types": [ "fixed", "other", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "other", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "FL" ], "websites": [ "https://linkedin.com/company/finaccess-advisors-llc" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/150697", "city_as_filed": "MIAMI", "url": "https://advisorcensus.com/firm/finaccess-advisors-llc-miami-fl-150697", "display_name": "Finaccess Advisors LLC", "summary": "Finaccess Advisors LLC is an SEC-registered investment advisory firm in Miami, FL, registered since 2009, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated August 25, 2026.", "citation": "AdvisorCensus. Finaccess Advisors LLC (CRD 150697): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Other" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients", "Other" ], "quick_answers": [ { "q": "How is Finaccess Advisors LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Finaccess Advisors LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); other." }, { "q": "Where is Finaccess Advisors LLC located?", "a": "Finaccess Advisors LLC's principal office is in Miami, FL, according to its Form ADV." }, { "q": "Is Finaccess Advisors LLC registered with the SEC or a state?", "a": "Finaccess Advisors LLC is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 150697." }, { "q": "How much does Finaccess Advisors LLC manage?", "a": "Finaccess Advisors LLC reports $4,113,584,758 in regulatory assets under management in its Form ADV filing dated August 25, 2026 (14% discretionary)." }, { "q": "How have Finaccess Advisors LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Finaccess Advisors LLC: Regulatory assets under management: $4,591,321,000 in the October 2021 data and $4,113,584,758 in the October 2026 data, down 10%. Total employees: 14 in October 2021 and 13 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Finaccess Advisors LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (75); pooled investment vehicles (other than investment companies and business development companies) (12); other (10)." }, { "q": "Which custodians does Finaccess Advisors LLC use?", "a": "Finaccess Advisors LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Banco Santander International, JP Morgan Chase Bank and Morgan Stanley & Co. LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Finaccess Advisors LLC report any disciplinary disclosures?", "a": "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/150697" }, { "q": "Does Finaccess Advisors LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 26, 2026 says: \"Finaccess Advisors does not require a minimum dollar value of assets under management or account minimum.\"" }, { "q": "What changed in Finaccess Advisors LLC's recent Form ADV filings?", "a": "In the September 2026 filing data: Reported a succession: took over the business of Finaccess Global Wealth & Asset Management, LLC (CRD 150697) on August 21, 2026. Changed its legal name from Finaccess Advisors, LLC to Finaccess Advisors LLC. Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 4591321000.0, "total_employees": 14, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 4446176244.0, "total_employees": 14, "filing_date": "2022-09-26" }, { "period": "2023-10-01", "regulatory_assets_under_management": 4139672984.0, "total_employees": 12, "filing_date": "2023-03-30" }, { "period": "2024-10-01", "regulatory_assets_under_management": 4047021163.0, "total_employees": 12, "filing_date": "2024-03-27" }, { "period": "2025-10-01", "regulatory_assets_under_management": 4021350321.0, "total_employees": 12, "filing_date": "2025-03-20" }, { "period": "2026-10-01", "regulatory_assets_under_management": 4113584758.0, "total_employees": 13, "filing_date": "2026-08-25" } ], "recent_changes": [ { "period": "2026-09-01", "period_label": "September 2026", "notes": [ "Reported a succession: took over the business of Finaccess Global Wealth & Asset Management, LLC (CRD 150697) on August 21, 2026.", "Changed its legal name from Finaccess Advisors, LLC to Finaccess Advisors LLC.", "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 6 to 7." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 26, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "Finaccess Advisors does not require a minimum dollar value of assets under management or account minimum." ] } ], "quotes": [ "Finaccess Advisors does not require a minimum dollar value of assets under management or account minimum." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Banco Santander International", "name_as_filed": "BANCO SANTANDER INTERNATIONAL", "affiliated": false }, { "name": "JP Morgan Chase Bank", "name_as_filed": "JP MORGAN CHASE BANK", "affiliated": false }, { "name": "Morgan Stanley & Co. LLC", "name_as_filed": "MORGAN STANLEY & CO. LLC", "affiliated": false } ], "custodians_note": "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.", "markdown_url": "https://advisorcensus.com/firm/finaccess-advisors-llc-miami-fl-150697.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 2, "fewer_than_5": true, "raum": 20821.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 75, "fewer_than_5": false, "raum": 1075081696.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 12, "fewer_than_5": false, "raum": 2840044895.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 2, "fewer_than_5": true, "raum": 122817813.0 }, { "type": "other", "label": "Other", "count": 10, "fewer_than_5": false, "raum": 75619533.0 } ], "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/150697", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }