Financial Management, Inc.
Firm details
- Headquarters
- Little Rock, Arkansas
- CRD number
- 108350
- Registered since
- October 11, 2022
- Website
- www.fmioffice.com
- Custodians
- CHARLES SCHWAB & CO., INC., ASCENSUS TRUST
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- Pension & Profit Sharing Plans41.49%
- HNWI29.27%
- Individuals13.85%
- Charitable Organizations11.26%
- Corporations / Businesses4.13%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension Consulting
Firm profile
FINTRXOverview
Financial Management, Inc. is a corporation that registered with the SEC in 2022 and serves both individual and institutional clients. The firm provides financial planning and portfolio management for individuals, small businesses, and institutions, and also offers pension consulting. Its business activity list includes insurance brokerage, and it maintains affiliations across broker-dealers, other investment advisers, registered municipal advisor channels, banking/thrift institutions, and insurance companies. Fee arrangements include percentage-of-AUM billing as well as hourly and fixed-fee engagements. The firm does not identify as an ESG investor, is not multi-state, and is not labeled a capital allocator.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds79%
- Cash & Cash Equivalents10%
- Exchange Traded Equities7%
- US Government Bonds2%
- Investment Grade Corp Bonds1%
Owners & executives
3 of 5
Jessica Wallace
Chief Compliance OfficerCRD 5746534
James Stockton
Chief Investment OfficerCRD 5087149
Joseph Bumpers
Chief Financial Officer, FinanceCRD 4336359
Contacts
3 of 4
Harold Grubbs
PresidentCRD 708166
Stephen Goetze
Investment Advisor RepresentativeCRD 8029145
John Robinson
Investment StrategistCRD 1354427
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 40Active vs passive
$140M in ETFs
98%
$137M
2%
$2.4M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE MSCI INTERNATIONAL DEVELOPED MARKETS ETF (IDEV) | BlackRock | Passive | Foreign Large Blend | $11.5M | 129,318 | 8.23% |
Location
Little Rock, AR
Pulaski
Location
Little Rock, AR
Headquartered in Little Rock, AR, anchoring the Little Rock-North Little Rock, AR metro in the South.
- Metro area
- Little Rock-North Little Rock, AR
- Region
- South
- County
- Pulaski
- Address
- 4007 N Rodney Parham Rd
- Time zone
- CT (UTC-6)
- Office locations
Similar firms
Millennium Capital Advisors, LLC
RIALittle Rock, AR
Brown Capital Management, LLC
RIALittle Rock, AR
Ipsen Advisor Group
RIALittle Rock, AR
The Circumference Group LLC
RIALittle Rock, AR
Forest Hill Capital, LLC
RIALittle Rock, AR
Mendel Capital Management, LLC
RIALittle Rock, AR