{
  "crd_number": 131442,
  "slug": "finley-financial-llc-las-vegas-nv-131442",
  "primary_business_name": "FINLEY FINANCIAL, LLC",
  "legal_name": "FINLEY FINANCIAL, LLC",
  "dbas": [],
  "city": "Las Vegas",
  "state": "NV",
  "country": "United States",
  "cbsa_code": "29820",
  "metro": {
    "cbsa_code": "29820",
    "common_name": "Las Vegas",
    "msa_name": "Las Vegas-Henderson-North Las Vegas, NV",
    "path": "/advisors/nv/las-vegas"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2017-06-22",
  "years_registered": 9,
  "period": "2026-10-01",
  "filing_date": "2026-01-26",
  "carried_forward": false,
  "raum_total": 259820341.0,
  "raum_discretionary": 259820341.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 58694032.0,
      "count": 46
    },
    "high_net_worth_individuals": {
      "raum": 201126309.0,
      "count": 78
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "NV",
    "OR",
    "TX"
  ],
  "websites": [
    "https://finleyfinancial.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/131442",
  "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?"
    }
  ],
  "city_as_filed": "LAS VEGAS",
  "url": "https://advisorcensus.com/firm/finley-financial-llc-las-vegas-nv-131442",
  "display_name": "Finley Financial, LLC",
  "summary": "Finley Financial, LLC is an SEC-registered investment advisory firm in Las Vegas, NV, registered since 2017, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 26, 2026.",
  "citation": "AdvisorCensus. Finley Financial, LLC (CRD 131442): 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": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Finley Financial, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Finley Financial, LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does Finley Financial, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated January 26, 2026 states: Asset-based fee: up to 1.5% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Finley Financial, LLC located?",
      "a": "Finley Financial, LLC's principal office is in Las Vegas, NV, according to its Form ADV."
    },
    {
      "q": "Is Finley Financial, LLC registered with the SEC or a state?",
      "a": "Finley Financial, LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 131442."
    },
    {
      "q": "How much does Finley Financial, LLC manage?",
      "a": "Finley Financial, LLC reports $259,820,341 in regulatory assets under management in its Form ADV filing dated January 26, 2026 (100% discretionary)."
    },
    {
      "q": "How have Finley Financial, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Finley Financial, LLC: Regulatory assets under management: $154,217,663 in the October 2021 data and $259,820,341 in the October 2026 data, up 68%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Finley Financial, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (78); individuals (other than high net worth individuals) (46)."
    },
    {
      "q": "Which custodians does Finley Financial, LLC use?",
      "a": "Finley Financial, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Finley Financial, LLC report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). 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/131442"
    },
    {
      "q": "Does Finley Financial, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated January 26, 2026 says: \"We generally set a minimum account requirement of $1,000,000 as a condition for managing a Client’s account. However, under certain limited circumstances we may waive this requirement.\""
    },
    {
      "q": "What changed in Finley Financial, LLC's recent Form ADV filings?",
      "a": "In the February 2026 filing data: Regulatory assets under management went from $202,271,000 to $259,820,341 (+28%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 154217663.0,
      "total_employees": 1,
      "filing_date": "2021-01-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 184378788.0,
      "total_employees": 1,
      "filing_date": "2022-02-21"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 143909232.0,
      "total_employees": 1,
      "filing_date": "2023-02-08"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 176034359.0,
      "total_employees": 1,
      "filing_date": "2024-08-08"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 202271000.0,
      "total_employees": 1,
      "filing_date": "2025-02-11"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 259820341.0,
      "total_employees": 1,
      "filing_date": "2026-01-26"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Regulatory assets under management went from $202,271,000 to $259,820,341 (+28%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated January 26, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": "1.5% of assets a year",
    "account_minimum": "$1,000,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: up to 1.5% of assets a year (the maximum the brochure states)"
        ],
        "quotes": [
          "We charge up to 1.50% annually for the assets we manage."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "We generally set a minimum account requirement of $1,000,000 as a condition for managing a Client’s account. However, under certain limited circumstances we may waive this requirement."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": 1.5,
      "account_minimum": 1000000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "We charge up to 1.50% annually for the assets we manage.",
      "We generally set a minimum account requirement of $1,000,000 as a condition for managing a Client’s account. However, under certain limited circumstances we may waive this requirement."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Fidelity Brokerage Services LLC",
      "name_as_filed": "FIDELITY BROKERAGE SERVICES 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/finley-financial-llc-las-vegas-nv-131442.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 46,
      "fewer_than_5": false,
      "raum": 58694032.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 78,
      "fewer_than_5": false,
      "raum": 201126309.0
    }
  ],
  "disclosure_line": "Reports 2 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/131442",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}