FLEMING FINANCIAL SERVICES

RIASEC Registered

Total AUM

$58M

Discretionary

$50M

86% of AUM

Avg account

$78.9K

Accounts

735

Employees

Advisory reps

Firm details

Headquarters: MESA, Arizona
CRD number: 145717
Website: www.flemingfinancialservices.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Other
Client types: HNWI89.66%
Individuals10.34%
Services: Financial PlanningPortfolio Management for IndividualsPension ConsultingPublication of PeriodicalsSecurity Ratings / Pricing ServicesEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Fleming Financial Services is an independent, privately owned registered investment adviser that focuses on individual and family clients. The firm provides a mix of financial planning and portfolio management for individuals and small businesses, alongside pension consulting and educational services such as seminars and published materials. It also offers security pricing or ratings services. Compensation includes asset-based fees as well as hourly and fixed-fee engagements. The adviser is not positioned as a capital allocator or a multi-state/ESG-focused manager. Its ownership is individual, and it maintains an affiliation with an insurance company.