Financial Action, Inc.

RIASEC & State Registered

Total AUM

$100M

Discretionary

$99.7M

99% of AUM

Avg account

$95.8K

Accounts

1,047

Employees

Advisory reps

Firm details

Headquarters: Monument, Colorado
CRD number: 140285
Registered since: April 27, 2026
Website: faiinv.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: Individuals82.22%
HNWI17.6%
Corporations / Businesses0.18%
Services: Financial PlanningPortfolio Management for IndividualsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Financial Action, Inc. is an independent registered investment adviser organized as a corporation and owned by an individual. The firm is SEC-registered as of 2026 and serves both individual & family clients and institutional accounts. Its primary advisory activities include financial planning, portfolio management for individuals and small businesses, and educational seminars/workshops. Compensation structures are flexible—percentage of AUM, hourly billing, and fixed fees are all used. The firm is not identified as an active ESG investor and lists an affiliation with an insurance company.