{
  "crd_number": 302115,
  "slug": "tolley-financial-group-llc-raleigh-nc-302115",
  "primary_business_name": "TOLLEY FINANCIAL GROUP, LLC",
  "legal_name": "TOLLEY FINANCIAL GROUP, LLC",
  "dbas": [],
  "city": "Raleigh",
  "state": "NC",
  "country": "United States",
  "cbsa_code": "39580",
  "metro": {
    "cbsa_code": "39580",
    "common_name": "Raleigh",
    "msa_name": "Raleigh-Cary, NC",
    "path": "/advisors/nc/raleigh"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2026-05-07",
  "years_registered": 0,
  "period": "2026-10-01",
  "filing_date": "2026-08-11",
  "carried_forward": false,
  "raum_total": 121857197.0,
  "raum_discretionary": 121857197.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 53515447.0,
      "count": 139
    },
    "insurance_companies": {
      "raum": 5733638.0,
      "count": 7
    },
    "pension_profit_sharing": {
      "raum": 9572495.0,
      "count": 15
    },
    "high_net_worth_individuals": {
      "raum": 53035617.0,
      "count": 31
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "FL",
    "KS",
    "NC",
    "SC",
    "TX",
    "UT"
  ],
  "websites": [
    "https://tolleyfinancialgroup.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/302115",
  "city_as_filed": "RALEIGH",
  "url": "https://advisorcensus.com/firm/tolley-financial-group-llc-raleigh-nc-302115",
  "display_name": "Tolley Financial Group, LLC",
  "summary": "Tolley Financial Group, LLC is an SEC-registered investment advisory firm in Raleigh, NC, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 11, 2026.",
  "citation": "AdvisorCensus. Tolley Financial Group, LLC (CRD 302115): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Tolley Financial Group, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Tolley Financial Group, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Tolley Financial Group, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated August 11, 2026 states: Flat fee: $1,500 to $4,000 (Financial Planning); Flat fee: up to $10,000 (transition service fee). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Tolley Financial Group, LLC located?",
      "a": "Tolley Financial Group, LLC's principal office is in Raleigh, NC, according to its Form ADV."
    },
    {
      "q": "Is Tolley Financial Group, LLC registered with the SEC or a state?",
      "a": "Tolley Financial Group, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 302115."
    },
    {
      "q": "How much does Tolley Financial Group, LLC manage?",
      "a": "Tolley Financial Group, LLC reports $121,857,197 in regulatory assets under management in its Form ADV filing dated August 11, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Tolley Financial Group, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (139); high net worth individuals (31); pension and profit sharing plans (but not the plan participants or government pension plans) (15)."
    },
    {
      "q": "Which custodians does Tolley Financial Group, LLC use?",
      "a": "Tolley Financial Group, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Dunham as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Tolley Financial Group, 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/302115"
    },
    {
      "q": "Does Tolley Financial Group, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated August 11, 2026 says: \"We provide financial planning and portfolio management services to individuals , high net- worth individuals and pension and profiting. We do not have a minimum account size requirement.\""
    },
    {
      "q": "What changed in Tolley Financial Group, LLC's recent Form ADV filings?",
      "a": "In the June 2026 filing data: Newly registered with the SEC."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Newly registered with the SEC."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated August 11, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Flat fee: $1,500 to $4,000 (Financial Planning)",
      "Flat fee: up to $10,000 (transition service fee)"
    ],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "We provide financial planning and portfolio management services to individuals , high net- worth individuals and pension and profiting. We do not have a minimum account size requirement."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $1,500 to $4,000 (Financial Planning)"
        ],
        "quotes": [
          "Financial Planning will generally be offered on a fixed fee basis. The fixed fee will be agreed upon before the start of any work. The fixed fee can range between $ 1,500.00 and $4,000.00."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: up to $10,000 (transition service fee)"
        ],
        "quotes": [
          "An additional transition service fee of up to $10,000, depending on complexity, may be applied when transitioning a retirement plan from one record keeper to another. This is a one-time fee."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "flat",
          "amount": null,
          "min": 1500.0,
          "max": 4000.0,
          "period": "one_time",
          "service": "Financial Planning"
        },
        {
          "kind": "flat",
          "amount": null,
          "min": null,
          "max": 10000.0,
          "period": "one_time",
          "service": "transition service fee"
        }
      ]
    },
    "quotes": [
      "We provide financial planning and portfolio management services to individuals , high net- worth individuals and pension and profiting. We do not have a minimum account size requirement.",
      "Financial Planning will generally be offered on a fixed fee basis. The fixed fee will be agreed upon before the start of any work. The fixed fee can range between $ 1,500.00 and $4,000.00.",
      "An additional transition service fee of up to $10,000, depending on complexity, may be applied when transitioning a retirement plan from one record keeper to another. This is a one-time fee."
    ],
    "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": "Dunham",
      "name_as_filed": "DUNHAM",
      "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/tolley-financial-group-llc-raleigh-nc-302115.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 139,
      "fewer_than_5": false,
      "raum": 53515447.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 31,
      "fewer_than_5": false,
      "raum": 53035617.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 15,
      "fewer_than_5": false,
      "raum": 9572495.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 7,
      "fewer_than_5": false,
      "raum": 5733638.0
    }
  ],
  "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/302115",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}