Financial Action, Inc.

RIASEC RegisteredEst. 2026

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 structured as a corporation and owned by an individual. The firm serves both individual and family clients as well as institutional clients, offering financial planning, portfolio management for individuals and small businesses, and educational seminars or workshops. Its fee arrangements include percentage-of-AUM billing alongside hourly and fixed-fee engagements. The firm reports a primary preference for equity investments and does not characterize itself as an active ESG investor.