# Yellow DOG Financial, Inc.

> Yellow DOG Financial, Inc. is a state-registered investment advisory firm, registered since 2008, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 148307
- Filed as: YELLOW DOG FINANCIAL, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/148307
- AdvisorCensus page: https://advisorcensus.com/firm/yellow-dog-financial-inc-148307

## Quick answers

**How is Yellow DOG Financial, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Yellow DOG Financial, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Yellow DOG Financial, Inc. registered with the SEC or a state?**
Yellow DOG Financial, Inc. is a state-registered investment advisory firm, registered since 2008. Status as filed: APPROVED. CRD 148307.

**How much does Yellow DOG Financial, Inc. manage?**
Yellow DOG Financial, Inc. reports $25,663,653 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (0% discretionary).

**What types of clients does Yellow DOG Financial, Inc. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (46); individuals (other than high net worth individuals) (21).

**Does Yellow DOG Financial, Inc. 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/148307

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $25,663,653
- Discretionary: $0
- Non-discretionary: $25,663,653

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 21 | $3,898,266 |
| High net worth individuals | 46 | $21,765,387 |

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

### Firm details
- Registered since: 2008 (17 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: GA, MA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- yelllowdogfinancial.com
- Facebook @yellowdogfinancial
- LinkedIn @BILLNICKLES

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Yellow DOG Financial, Inc. (CRD 148307): Form ADV filing data as of October 2026.