# Holm & Cawley Financial Group LLC

> 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.

- CRD: 150601
- Filed as: HOLM & CAWLEY FINANCIAL GROUP LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Las Vegas, NV
- Filing period: October 2026
- Form ADV filing dated: March 4, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/150601
- AdvisorCensus page: https://advisorcensus.com/firm/holm-and-cawley-financial-group-llc-las-vegas-nv-150601

## Quick answers

**How is Holm & Cawley Financial Group LLC compensated?**
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.

**How much does Holm & Cawley Financial Group LLC charge?**
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.

**Where is Holm & Cawley Financial Group LLC located?**
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).

**Is Holm & Cawley Financial Group LLC registered with the SEC or a state?**
Holm & Cawley Financial Group LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 150601.

**How much does Holm & Cawley Financial Group LLC manage?**
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).

**What types of clients does Holm & Cawley Financial Group LLC serve?**
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).

**Which custodians does Holm & Cawley Financial Group LLC use?**
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.

**Does Holm & Cawley Financial Group LLC report any disciplinary disclosures?**
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

**Does Holm & Cawley Financial Group LLC state an account minimum?**
Its Form ADV Part 2A brochure dated February 12, 2026 says: "The firm has no minimum requirement to maintain an account."

**What changed in Holm & Cawley Financial Group LLC's recent Form ADV filings?**
In the April 2026 filing data: Newly registered with the SEC.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated February 12, 2026)

- 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

> 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%

- Account minimum: None

> The firm has no minimum requirement to maintain an account.

- Hourly rate: $150 an hour (legal services)

> 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.

- Flat fee: $1,250 (estate planning)

> The typical negotiated flat fee is $1,250. This creates an incentive for him to recommend such services.

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

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Interactive Brokers 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: $128,816,000
- Discretionary: $108,174,000
- Non-discretionary: $20,642,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 217 | $48,193,000 |
| High net worth individuals | 28 | $59,981,000 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 6 | $20,642,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Other

### Firm details
- Registered since: 2026 (0 years)
- Employees: 5 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, CO, NV, TX, UT
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.A(2): In the past ten years, has the firm or an advisory affiliate been charged with a felony?
- 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?

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/150601

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Helper, UT
- Hildale, UT

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

## Changes in the filing (last 12 months)

### April 2026
- Newly registered with the SEC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Holm & Cawley Financial Group LLC (CRD 150601): Form ADV filing data as of October 2026.