{ "crd_number": 108998, "slug": "financial-trust-asset-management-chartered-boca-raton-fl-108998", "primary_business_name": "FINANCIAL TRUST ASSET MANAGEMENT CHARTERED", "legal_name": "FINANCIAL TRUST ASSET MANAGEMENT CHARTERED", "dbas": [ "FINANCIAL TRUST ASSET MANAGEMENT" ], "city": "Boca Raton", "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": "2025-03-31", "years_registered": 1, "period": "2026-10-01", "filing_date": "2026-08-03", "carried_forward": false, "raum_total": 141926313.0, "raum_discretionary": 137895973.0, "raum_non_discretionary": 4030340.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 5, "advisory_employees": 4, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 853448.0, "count": 1, "fewer_than_5": true }, "individuals": { "raum": 35550393.0, "count": 151 }, "pension_profit_sharing": { "raum": 12849255.0, "count": 2, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 91193919.0, "count": 49 }, "corporations_other_businesses": { "raum": 1479298.0, "count": 5 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 3, "states_registered": [ "FL", "GA", "LA", "MA", "NC", "NY" ], "websites": [ "https://financialtrust.net", "https://financialtrust.net/blog", "https://huestonfinancialservices.com", "https://linkedin.com/company/financial-trust-asset-management", "https://linkedin.com/in/a-stephen-hueston-iv-cpa-cfp%C2%AE-6b340a168", "https://linkedin.com/in/arnom1", "https://linkedin.com/in/greg-vigrass-7a9a3b", "https://linkedin.com/in/john-sessa-202270208" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/108998", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related 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?" } ], "city_as_filed": "BOCA RATON", "url": "https://advisorcensus.com/firm/financial-trust-asset-management-chartered-boca-raton-fl-108998", "display_name": "Financial Trust Asset Management Chartered", "summary": "Financial Trust Asset Management Chartered is an SEC-registered investment advisory firm in Boca Raton, FL, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 3, 2026.", "citation": "AdvisorCensus. Financial Trust Asset Management Chartered (CRD 108998): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-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", "Pension consulting services" ], "quick_answers": [ { "q": "How is Financial Trust Asset Management Chartered compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Financial Trust Asset Management Chartered 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": "Where is Financial Trust Asset Management Chartered located?", "a": "Financial Trust Asset Management Chartered's principal office is in Boca Raton, FL, according to its Form ADV; the September 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Financial Trust Asset Management Chartered registered with the SEC or a state?", "a": "Financial Trust Asset Management Chartered is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 108998." }, { "q": "How much does Financial Trust Asset Management Chartered manage?", "a": "Financial Trust Asset Management Chartered reports $141,926,313 in regulatory assets under management in its Form ADV filing dated August 3, 2026 (97% discretionary)." }, { "q": "How have Financial Trust Asset Management Chartered's assets and staff changed since 2025?", "a": "In the Form ADV data for Financial Trust Asset Management Chartered: Regulatory assets under management: $115,310,077 in the October 2025 data and $141,926,313 in the October 2026 data, up 23%. Total employees: 5 in October 2025 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Financial Trust Asset Management Chartered serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (151); high net worth individuals (49); corporations or other businesses not listed above (5)." }, { "q": "Which custodians does Financial Trust Asset Management Chartered use?", "a": "Financial Trust Asset Management Chartered's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Goldman Sachs Custody Solutions as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Financial Trust Asset Management Chartered report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.E(2) (self-regulatory organization's finding of a rule violation). 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 SEC record: https://adviserinfo.sec.gov/firm/summary/108998" }, { "q": "What changed in Financial Trust Asset Management Chartered's recent Form ADV filings?", "a": "In the September 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2025-10-01", "regulatory_assets_under_management": 115310077.0, "total_employees": 5, "filing_date": "2025-07-17" }, { "period": "2026-10-01", "regulatory_assets_under_management": 141926313.0, "total_employees": 5, "filing_date": "2026-08-03" } ], "recent_changes": [ { "period": "2026-09-01", "period_label": "September 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-06-01", "period_label": "June 2026", "notes": [ "No longer lists the business name Hueston Financial Services." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $115,310,077 to $141,926,313 (+23%)." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Goldman Sachs Custody Solutions", "name_as_filed": "GOLDMAN SACHS CUSTODY SOLUTIONS", "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/financial-trust-asset-management-chartered-boca-raton-fl-108998.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 151, "fewer_than_5": false, "raum": 35550393.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 49, "fewer_than_5": false, "raum": 91193919.0 }, { "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": 12849255.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 1, "fewer_than_5": true, "raum": 853448.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 5, "fewer_than_5": false, "raum": 1479298.0 } ], "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/108998", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }