{
  "crd_number": 168495,
  "slug": "flaharty-asset-management-llc-clearwater-fl-168495",
  "primary_business_name": "FLAHARTY ASSET MANAGEMENT, LLC",
  "legal_name": "FLAHARTY ASSET MANAGEMENT, LLC",
  "dbas": [],
  "city": "Clearwater",
  "state": "FL",
  "country": "United States",
  "cbsa_code": "45300",
  "metro": {
    "cbsa_code": "45300",
    "common_name": "Tampa",
    "msa_name": "Tampa-St. Petersburg-Clearwater, FL",
    "path": "/advisors/fl/tampa"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2013-08-27",
  "years_registered": 13,
  "period": "2026-10-01",
  "filing_date": "2026-03-19",
  "carried_forward": false,
  "raum_total": 901606202.0,
  "raum_discretionary": 899372003.0,
  "raum_non_discretionary": 2234199.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 10,
  "advisory_employees": 9,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 1341791.0,
      "count": 4
    },
    "individuals": {
      "raum": 125719799.0,
      "count": 548
    },
    "pension_profit_sharing": {
      "raum": 4377609.0,
      "count": 6
    },
    "high_net_worth_individuals": {
      "raum": 741092255.0,
      "count": 556
    },
    "corporations_other_businesses": {
      "raum": 29074748.0,
      "count": 16
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "CO",
    "FL",
    "GA",
    "IL",
    "IN",
    "KS",
    "LA",
    "MA",
    "MD",
    "MI",
    "NC",
    "NH",
    "NY",
    "OH",
    "PA",
    "RI",
    "SC",
    "TN",
    "TX",
    "VA",
    "WA"
  ],
  "websites": [
    "https://facebook.com/FLAHARTYASSETMANAGEMENT",
    "https://flahartyllc.com",
    "https://linkedin.com/company/flahartyllc/posts?feedView=all",
    "https://youtube.com/@Flahartyllc"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/168495",
  "city_as_filed": "CLEARWATER",
  "url": "https://advisorcensus.com/firm/flaharty-asset-management-llc-clearwater-fl-168495",
  "display_name": "Flaharty Asset Management, LLC",
  "summary": "Flaharty Asset Management, LLC is an SEC-registered investment advisory firm in Clearwater, FL, registered since 2013, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 19, 2026.",
  "citation": "AdvisorCensus. Flaharty Asset Management, LLC (CRD 168495): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "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",
    "Selection of other advisers (including private fund managers)",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Flaharty Asset Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Flaharty Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "What does Flaharty Asset Management, LLC's brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated March 19, 2026 states: Asset-based fee: up to 2% 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 Flaharty Asset Management, LLC located?",
      "a": "Flaharty Asset Management, LLC's principal office is in Clearwater, FL, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Flaharty Asset Management, LLC registered with the SEC or a state?",
      "a": "Flaharty Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 168495."
    },
    {
      "q": "How much does Flaharty Asset Management, LLC manage?",
      "a": "Flaharty Asset Management, LLC reports $901,606,202 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary)."
    },
    {
      "q": "How have Flaharty Asset Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Flaharty Asset Management, LLC: Regulatory assets under management: $645,373,241 in the October 2021 data and $901,606,202 in the October 2026 data, up 40%. Total employees: 9 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Flaharty Asset Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (556); individuals (other than high net worth individuals) (548); corporations or other businesses not listed above (16)."
    },
    {
      "q": "Which custodians does Flaharty Asset Management, LLC use?",
      "a": "Flaharty Asset Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and LPL Financial LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Flaharty Asset Management, LLC report any disciplinary disclosures?",
      "a": "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/168495"
    },
    {
      "q": "Does Flaharty Asset Management, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 19, 2026 says: \"There is a minimum investment of $250,000, although the Advisor may accept smaller accounts at its discretion.\""
    },
    {
      "q": "What changed in Flaharty Asset Management, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 8 to 9. Regulatory assets under management went from $809,577,048 to $901,606,202 (+11%). Registered or notice-filed in KS, MA, WA."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 645373241.0,
      "total_employees": 9,
      "filing_date": "2021-04-30"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 771934005.0,
      "total_employees": 12,
      "filing_date": "2022-03-15"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 682629834.0,
      "total_employees": 11,
      "filing_date": "2023-05-24"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 761160791.0,
      "total_employees": 11,
      "filing_date": "2024-06-06"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 809577048.0,
      "total_employees": 9,
      "filing_date": "2025-04-03"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 901606202.0,
      "total_employees": 10,
      "filing_date": "2026-03-19"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 8 to 9.",
        "Regulatory assets under management went from $809,577,048 to $901,606,202 (+11%).",
        "Registered or notice-filed in KS, MA, WA."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 19, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": "2% of assets a year",
    "account_minimum": "$250,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: up to 2% of assets a year (the maximum the brochure states)"
        ],
        "quotes": [
          "The Advisor charges no more than 2.00% annually for its portfolio management services. The amount of the investment advisory fee will be set out in the Investment Advisory Agreement executed by the client at the time the relationship is established."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $250,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "There is a minimum investment of $250,000, although the Advisor may accept smaller accounts at its discretion."
        ]
      }
    ],
    "quotes": [
      "The Advisor charges no more than 2.00% annually for its portfolio management services. The amount of the investment advisory fee will be set out in the Investment Advisory Agreement executed by the client at the time the relationship is established.",
      "There is a minimum investment of $250,000, although the Advisor may accept smaller accounts at its discretion."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "LPL Financial LLC",
      "name_as_filed": "LPL FINANCIAL 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/flaharty-asset-management-llc-clearwater-fl-168495.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 548,
      "fewer_than_5": false,
      "raum": 125719799.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 556,
      "fewer_than_5": false,
      "raum": 741092255.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 6,
      "fewer_than_5": false,
      "raum": 4377609.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 4,
      "fewer_than_5": false,
      "raum": 1341791.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 16,
      "fewer_than_5": false,
      "raum": 29074748.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "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/168495",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}