# Tolley Financial Group, LLC

> 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.

- CRD: 302115
- Filed as: TOLLEY FINANCIAL GROUP, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Raleigh, NC
- Filing period: October 2026
- Form ADV filing dated: August 11, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/302115
- AdvisorCensus page: https://advisorcensus.com/firm/tolley-financial-group-llc-raleigh-nc-302115

## Quick answers

**How is Tolley Financial Group, LLC compensated?**
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).

**How much does Tolley Financial Group, LLC charge?**
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.

**Where is Tolley Financial Group, LLC located?**
Tolley Financial Group, LLC's principal office is in Raleigh, NC, according to its Form ADV.

**Is Tolley Financial Group, LLC registered with the SEC or a state?**
Tolley Financial Group, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 302115.

**How much does Tolley Financial Group, LLC manage?**
Tolley Financial Group, LLC reports $121,857,197 in regulatory assets under management in its Form ADV filing dated August 11, 2026 (100% discretionary).

**What types of clients does Tolley Financial Group, LLC serve?**
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).

**Which custodians does Tolley Financial Group, LLC use?**
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.

**Does Tolley Financial Group, LLC report any disciplinary disclosures?**
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

**Does Tolley Financial Group, LLC state an account minimum?**
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."

**What changed in Tolley Financial Group, LLC's recent Form ADV filings?**
In the June 2026 filing data: Newly registered with the SEC.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated August 11, 2026)

- Account minimum: None

> 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.

- Flat fee: $1,500 to $4,000 (Financial Planning)

> 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.

- Flat fee: up to $10,000 (transition service fee)

> 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.

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.
- Dunham

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: $121,857,197
- Discretionary: $121,857,197
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 139 | $53,515,447 |
| High net worth individuals | 31 | $53,035,617 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 15 | $9,572,495 |
| Insurance companies | 7 | $5,733,638 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2026 (0 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, KS, NC, SC, TX, UT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- tolleyfinancialgroup.com

## Changes in the filing (last 12 months)

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

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Tolley Financial Group, LLC (CRD 302115): Form ADV filing data as of October 2026.