Finley Financial, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Finley Financial provides discretionary portfolio management and financial planning to individuals (including high-net-worth clients), trusts and small businesses, primarily using exchange-traded funds and mutual funds. The firm builds customized portfolios and documents investment parameters through written plans and investment policy statements, with routine rebalancing and ongoing account monitoring.
The firm’s investment approach is grounded in Modern Portfolio Theory and emphasizes asset allocation, global diversification, tax-efficient, low-cost funds, and a passive, long-term focus rather than market timing or individual security selection. Finley Financial also advises on retirement plan rollovers and states it will act as a fiduciary under the applicable special rule, offering either a recommended rollover or an educational alternative when appropriate.
What is distinctive is the scale of assets relative to its advisory team: the firm reports roughly $260 million in discretionary assets under management for a single-advisor, SEC-registered practice serving about 124 clients, a configuration that is uncommon among similarly supported firms. The brochure also notes the firm is fee-only, typically recommends a single custodian through an institutional platform arrangement for custody and trade execution, and discloses no disciplinary history.
Client services
Expertise
Fee options
Flat fee may be charged as an alternative to percentage of assets under management
Up to 1.50% annually
Account minimum: $1,000,000 Fee-only: Fee-only advisory firm compensated only by clients; no commissions or other compensation
Main office
Las Vegas NV
Advisors at this office
1
Most active in
Nevada · Oregon · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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