Finley Financial, LLC

RIASEC RegisteredEst. 2017

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 registered investment adviser formed in 2017 and owned by an individual. The firm focuses on portfolio management for individuals and small businesses and charges fees as a percentage of assets under management. Its client base consists primarily of individual and family clients. The adviser does not position itself as a capital allocator, is not an active ESG investor, and is not registered as a multi-state adviser or pension consultant.

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%

Contacts

2 of 2

Jason Finley
Owner, AgentCRD 2686780
Laura Finley
Financial AnalystCRD 7559525

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 104

Active vs passive

$256M in ETFs

Passive

100%

$255M

Active

0%

$768K

ETF	Provider	Style	Category	Value	Shares	% of portfolio
ISHARES RUSSELL 3000 ETF (IWV)	BlackRock	Passive	Large Blend	$29.6M	69,374	11.55%

Unlock additional holdings →

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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