# Finley Financial, LLC

> 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.

- CRD: 131442
- Filed as: FINLEY FINANCIAL, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Las Vegas, NV
- Filing period: October 2026
- Form ADV filing dated: January 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/131442
- AdvisorCensus page: https://advisorcensus.com/firm/finley-financial-llc-las-vegas-nv-131442

## Quick answers

**How is Finley Financial, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Finley Financial, LLC reports these compensation arrangements: a percentage of assets under its management.

**How much does Finley Financial, LLC charge?**
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.

**Where is Finley Financial, LLC located?**
Finley Financial, LLC's principal office is in Las Vegas, NV, according to its Form ADV.

**Is Finley Financial, LLC registered with the SEC or a state?**
Finley Financial, LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 131442.

**How much does Finley Financial, LLC manage?**
Finley Financial, LLC reports $259,820,341 in regulatory assets under management in its Form ADV filing dated January 26, 2026 (100% discretionary).

**How have Finley Financial, LLC's assets and staff changed since 2021?**
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.

**What types of clients does Finley Financial, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (78); individuals (other than high net worth individuals) (46).

**Which custodians does Finley Financial, LLC use?**
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.

**Does Finley Financial, LLC report any disciplinary disclosures?**
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

**Does Finley Financial, LLC state an account minimum?**
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."

**What changed in Finley Financial, LLC's recent Form ADV filings?**
In the February 2026 filing data: Regulatory assets under management went from $202,271,000 to $259,820,341 (+28%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated January 26, 2026)

- Asset-based fee: up to 1.5% of assets a year (the maximum the brochure states)

> We charge up to 1.50% annually for the assets we manage.

- Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Fidelity Brokerage Services LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $259,820,341
- Discretionary: $259,820,341
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 46 | $58,694,032 |
| High net worth individuals | 78 | $201,126,309 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2017 (9 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NV, OR, TX
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): 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?
- 11.D(4): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/131442

### Websites listed on Form ADV (Item 1.I)
- [finleyfinancial.com](https://finleyfinancial.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $154,217,663 | 1 | January 29, 2021 |
| October 2022 | $184,378,788 | 1 | February 21, 2022 |
| October 2023 | $143,909,232 | 1 | February 8, 2023 |
| October 2024 | $176,034,359 | 1 | August 8, 2024 |
| October 2025 | $202,271,000 | 1 | February 11, 2025 |
| October 2026 | $259,820,341 | 1 | January 26, 2026 |

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.

## Changes in the filing (last 12 months)

### February 2026
- Regulatory assets under management went from $202,271,000 to $259,820,341 (+28%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Finley Financial, LLC (CRD 131442): Form ADV filing data as of October 2026.