AdvisorCensus / Financial advisors / Colorado / Colorado Springs / Financial Action, Inc.
Financial Action, Inc. is an SEC-registered investment advisory firm in Monument, CO, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 4, 2026.
Quick answers
From the filingHow is Financial Action, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Financial Action, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
Where is Financial Action, Inc. located?
Financial Action, Inc.'s principal office is in Monument, CO, according to its Form ADV.
Is Financial Action, Inc. registered with the SEC or a state?
Financial Action, Inc. is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 140285.
How much does Financial Action, Inc. manage?
Financial Action, Inc. reports $100,278,633 in regulatory assets under management in its Form ADV filing dated September 4, 2026 (99% discretionary).
What types of clients does Financial Action, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (432); high net worth individuals (32); corporations or other businesses not listed above (15).
Which custodians does Financial Action, Inc. use?
Financial Action, Inc.'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 Financial Action, Inc. 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/140285
What changed in Financial Action, Inc.'s recent Form ADV filings?
In the October 2026 filing data: Registered or notice-filed in AZ, NE.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Regulatory assets under management
Item 5.F$100,278,633 as of October 2026, filing dated September 4, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Educational seminars/workshops
Registration and firm details
Items 1, 2, 5- Also doing business as
- ELEVATED FINANCIAL PLANNING, FINANCIAL FUTURE SERVICES, LLC., PARAGON CAPITAL, LLC
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2026 (0 years)
- Employees
- Total: 6. Performing investment advisory functions: 4.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
8 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 months- October 2026
- Registered or notice-filed in AZ, NE.
- July 2026
- Registered or notice-filed in OK.
- May 2026
- Newly registered with the SEC.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Financial Action, Inc. (CRD 140285): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/financial-action-inc-monument-co-140285