{ "crd_number": 168061, "slug": "financial-one-inc-168061", "primary_business_name": "FINANCIAL ONE, INC.", "legal_name": "FINANCIAL ONE, INC.", "dbas": [], "city": null, "state": null, "country": null, "cbsa_code": null, "metro": null, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2015-10-15", "years_registered": 10, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 30863922.0, "raum_discretionary": 30863922.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 412218.0, "count": 2, "fewer_than_5": true }, "pension_profit_sharing": { "raum": 767070.0, "count": 2, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 29684634.0, "count": 18 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": true, "disclosure_yes_count": 3, "states_registered": [ "FL" ], "websites": [ "https://financial1one.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/168061", "listing_state": "FL", "disclosure_items": [ { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" } ], "city_as_filed": null, "url": "https://advisorcensus.com/firm/financial-one-inc-168061", "display_name": "Financial One, Inc.", "summary": "Financial One, Inc. is a state-registered investment advisory firm, registered since 2015, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Financial One, Inc. (CRD 168061): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "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 Financial One, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Financial One, Inc. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Is Financial One, Inc. registered with the SEC or a state?", "a": "Financial One, Inc. is a state-registered investment advisory firm, registered since 2015. Status as filed: APPROVED. CRD 168061." }, { "q": "How much does Financial One, Inc. manage?", "a": "Financial One, Inc. reports $30,863,922 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)." }, { "q": "What types of clients does Financial One, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (18); individuals (other than high net worth individuals) (2); pension and profit sharing plans (but not the plan participants or government pension plans) (2)." }, { "q": "Does Financial One, Inc. report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/168061" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/financial-one-inc-168061.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 2, "fewer_than_5": true, "raum": 412218.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 18, "fewer_than_5": false, "raum": 29684634.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 2, "fewer_than_5": true, "raum": 767070.0 } ], "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.", "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/168061", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }