Finley Financial, LLC

RIASEC Registered

Total AUM

$260M

Discretionary

$260M

100% of AUM

Avg account

$896K

Accounts

290

Employees

1

Advisory reps

2

Firm details

Headquarters: Las Vegas, Nevada
CRD number: 131442
Registered since: June 22, 2017
Website: www.finleyfinancial.com
Custodians: FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure: Percentage of AUM
Client types: HNWI77.41%
Individuals22.59%
Services: Portfolio Management for Individuals

Firm profile

FINTRX

Overview

Finley Financial, LLC is an independent, individually owned registered investment adviser organized as an LLC. The firm is SEC-registered (initially registered in 2017) and delivers fee-based portfolio management largely to individuals and families, as well as small business clients. Its fee model is percentage-of-AUM and its stated advisory activity centers on discretionary portfolio management. Filings indicate the firm does not position itself as a capital allocator or a multi-state adviser and it does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities92%
Cash & Cash Equivalents5%
Private Funds3%

Owners & executives

Contacts

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 101

Active vs passive

$250M in ETFs

Passive

100%

$249M

Active

0%

$999K

ETF	Provider	Style	Category	Value	Shares	% of portfolio
ISHARES RUSSELL 3000 ETF (IWV)	BlackRock	Passive	Large Blend	$29.4M	68,003	11.78%

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Primary office

Las Vegas, NV

Clark

Location

Las Vegas, NV

Headquartered in Las Vegas, NV, anchoring the Las Vegas-Henderson, NV metro in the West.

Metro area: Las Vegas-Henderson, NV
Region: West
County: Clark
Address: 11421 Rain Canyon Ave
Time zone: PT (UTC-8)
Office locations

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