{
  "crd_number": 150601,
  "slug": "holm-and-cawley-financial-group-llc-las-vegas-nv-150601",
  "primary_business_name": "HOLM & CAWLEY FINANCIAL GROUP LLC",
  "legal_name": "HOLM & CAWLEY FINANCIAL GROUP 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": "2026-03-13",
  "years_registered": 0,
  "period": "2026-10-01",
  "filing_date": "2026-03-04",
  "carried_forward": false,
  "raum_total": 128816000.0,
  "raum_discretionary": 108174000.0,
  "raum_non_discretionary": 20642000.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 5,
  "advisory_employees": 4,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 48193000.0,
      "count": 217
    },
    "pension_profit_sharing": {
      "raum": 20642000.0,
      "count": 6
    },
    "high_net_worth_individuals": {
      "raum": 59981000.0,
      "count": 28
    }
  },
  "compensation_types": [
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "NV",
    "TX",
    "UT"
  ],
  "websites": [
    "https://holmandcawley.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/150601",
  "disclosure_items": [
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    },
    {
      "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?"
    }
  ],
  "city_as_filed": "LAS VEGAS",
  "url": "https://advisorcensus.com/firm/holm-and-cawley-financial-group-llc-las-vegas-nv-150601",
  "display_name": "Holm & Cawley Financial Group LLC",
  "summary": "Holm & Cawley Financial Group LLC is an SEC-registered investment advisory firm in Las Vegas, NV, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 4, 2026.",
  "citation": "AdvisorCensus. Holm & Cawley Financial Group LLC (CRD 150601): 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"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Holm & Cawley Financial Group LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Holm & Cawley Financial Group LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges."
    },
    {
      "q": "How much does Holm & Cawley Financial Group LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated February 12, 2026 states: Up to $500,000: 2% a year; $500,000 to $1,500,000: 1.75% a year; $1,500,000 to $2,500,000: 1.5% a year; $2,500,000 to $5,000,000: 1.25% a year; $5,000,000 to $7,500,000: 1% a year; Above $7,500,000: 0.75% a year; Hourly rate: $150 an hour (legal services); Flat fee: $1,250 (estate planning). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Holm & Cawley Financial Group LLC located?",
      "a": "Holm & Cawley Financial Group LLC's principal office is in Las Vegas, NV, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Holm & Cawley Financial Group LLC registered with the SEC or a state?",
      "a": "Holm & Cawley Financial Group LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 150601."
    },
    {
      "q": "How much does Holm & Cawley Financial Group LLC manage?",
      "a": "Holm & Cawley Financial Group LLC reports $128,816,000 in regulatory assets under management in its Form ADV filing dated March 4, 2026 (84% discretionary)."
    },
    {
      "q": "What types of clients does Holm & Cawley Financial Group LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (217); high net worth individuals (28); pension and profit sharing plans (but not the plan participants or government pension plans) (6)."
    },
    {
      "q": "Which custodians does Holm & Cawley Financial Group LLC use?",
      "a": "Holm & Cawley Financial Group LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Interactive Brokers LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Holm & Cawley Financial Group LLC report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.A(2) (felony charge in the past ten years) and 11.D(2) (another regulator's finding of a 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/150601"
    },
    {
      "q": "Does Holm & Cawley Financial Group LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated February 12, 2026 says: \"The firm has no minimum requirement to maintain an account.\""
    },
    {
      "q": "What changed in Holm & Cawley Financial Group LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Newly registered with the SEC."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Newly registered with the SEC."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated February 12, 2026",
    "provided_by_the_firm": false,
    "tiers": [
      {
        "band": "Up to $500,000",
        "rate": "2%"
      },
      {
        "band": "$500,000 to $1,500,000",
        "rate": "1.75%"
      },
      {
        "band": "$1,500,000 to $2,500,000",
        "rate": "1.5%"
      },
      {
        "band": "$2,500,000 to $5,000,000",
        "rate": "1.25%"
      },
      {
        "band": "$5,000,000 to $7,500,000",
        "rate": "1%"
      },
      {
        "band": "Above $7,500,000",
        "rate": "0.75%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $150 an hour (legal services)",
      "Flat fee: $1,250 (estate planning)"
    ],
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "Up to $500,000: 2% a year",
          "$500,000 to $1,500,000: 1.75% a year",
          "$1,500,000 to $2,500,000: 1.5% a year",
          "$2,500,000 to $5,000,000: 1.25% a year",
          "$5,000,000 to $7,500,000: 1% a year",
          "Above $7,500,000: 0.75% a year"
        ],
        "quotes": [
          "The firm's asset management fee schedule is as follows: Total Account Value Annual Advisory Fee The First $500,000 2.00% The Next $1,000,000 1.75% The Next $1,000,000 1.50% The Next $2,500,000 1.25% The Next $2,500,000 1.00% Over $7,500,000 .75%"
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "The firm has no minimum requirement to maintain an account."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $150 an hour (legal services)"
        ],
        "quotes": [
          "His fees are negotiable with a base fee of $150/hour and, in certain circumstances (i.e. estate planning), a flat fee can be negotiated based on the complexity of the estate plan."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $1,250 (estate planning)"
        ],
        "quotes": [
          "The typical negotiated flat fee is $1,250. This creates an incentive for him to recommend such services."
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": 0.0,
          "max": 500000.0,
          "rate_pct": 2.0
        },
        {
          "min": 500000.0,
          "max": 1500000.0,
          "rate_pct": 1.75
        },
        {
          "min": 1500000.0,
          "max": 2500000.0,
          "rate_pct": 1.5
        },
        {
          "min": 2500000.0,
          "max": 5000000.0,
          "rate_pct": 1.25
        },
        {
          "min": 5000000.0,
          "max": 7500000.0,
          "rate_pct": 1.0
        },
        {
          "min": 7500000.0,
          "max": null,
          "rate_pct": 0.75
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": 150.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "legal services"
        },
        {
          "kind": "flat",
          "amount": 1250.0,
          "min": null,
          "max": null,
          "period": "one_time",
          "service": "estate planning"
        }
      ]
    },
    "quotes": [
      "The firm's asset management fee schedule is as follows: Total Account Value Annual Advisory Fee The First $500,000 2.00% The Next $1,000,000 1.75% The Next $1,000,000 1.50% The Next $2,500,000 1.25% The Next $2,500,000 1.00% Over $7,500,000 .75%",
      "The firm has no minimum requirement to maintain an account.",
      "His fees are negotiable with a base fee of $150/hour and, in certain circumstances (i.e. estate planning), a flat fee can be negotiated based on the complexity of the estate plan.",
      "The typical negotiated flat fee is $1,250. This creates an incentive for him to recommend such services."
    ],
    "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": "Interactive Brokers LLC",
      "name_as_filed": "INTERACTIVE BROKERS 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/holm-and-cawley-financial-group-llc-las-vegas-nv-150601.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 217,
      "fewer_than_5": false,
      "raum": 48193000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 28,
      "fewer_than_5": false,
      "raum": 59981000.0
    },
    {
      "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": 20642000.0
    }
  ],
  "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/150601",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}