# Fleming Financial Services

> Fleming Financial Services is a state-registered investment advisory firm in Mesa, AZ, registered since 2009, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated February 11, 2026.

- CRD: 145717
- Filed as: FLEMING FINANCIAL SERVICES
- Legal name: Fleming Financial Services, Incorporated
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Mesa, AZ
- Filing period: October 2026
- Form ADV filing dated: February 11, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/145717
- AdvisorCensus page: https://advisorcensus.com/firm/fleming-financial-services-mesa-az-145717

## Quick answers

**How is Fleming Financial Services compensated?**
On its Form ADV (Item 5.E, October 2026), Fleming Financial Services reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other.

**Where is Fleming Financial Services located?**
Fleming Financial Services' principal office is in Mesa, AZ, according to its Form ADV.

**Is Fleming Financial Services registered with the SEC or a state?**
Fleming Financial Services is a state-registered investment advisory firm, registered since 2009. Status as filed: APPROVED. CRD 145717.

**How much does Fleming Financial Services manage?**
Fleming Financial Services reports $58,000,000 in regulatory assets under management in its Form ADV filing dated February 11, 2026 (86% discretionary).

**What types of clients does Fleming Financial Services serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (354); individuals (other than high net worth individuals) (124).

**Does Fleming Financial Services report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/145717

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Other

### Regulatory assets under management (Item 5.F)
- Total: $58,000,000
- Discretionary: $50,000,000
- Non-discretionary: $8,000,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 124 | $6,000,000 |
| High net worth individuals | 354 | $52,000,000 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops

### Firm details
- Registered since: 2009 (17 years)
- Employees: 8 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- flemingfinancialservices.com
- Facebook @flemingfinancialservices
- LinkedIn @fleming-financial-services-az

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Fleming Financial Services (CRD 145717): Form ADV filing data as of October 2026.