Farrell Financial provides financial planning, portfolio management for individuals and small businesses, estate planning, insurance, and tax planning. Financial planning was provided to 101–250 clients last fiscal year.
Farrell Financial reports 233 clients. They include 189 individual clients and 44 high-net-worth individuals. Of its assets, 100.0% ($201M across 237 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 81% | 37% |
| High-net-worth individuals | 19% | 63% |
| Charitable organizations | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 189 | $74.2M | 37.0% | $392K |
| High-net-worth individuals | 44 | $126M | 62.8% | $2.86M |
| Charitable organizations | Fewer than 5 | $531K | 0.3% | — |
| Total | 233 | $201M | 100% | — |
- Clients
- 189
- Regulatory AUM
- $74.2M
- AUM share
- 37.0%
- Avg. per client
- $392K
- Clients
- 44
- Regulatory AUM
- $126M
- AUM share
- 62.8%
- Avg. per client
- $2.86M
- Clients
- Fewer than 5
- Regulatory AUM
- $531K
- AUM share
- 0.3%
- Avg. per client
- —
Total
- Clients
- 233
- Regulatory AUM
- $201M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 101–250
Farrell Financial is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Held-Away Account Management
- Management of held-away accounts, such as 401(k) plan accounts, is billed at up to 1.0% a year, separate from the taxable-account fee.
Neil Farrell owns 75% or more of Farrell Financial. The leadership team of Farrell Financial includes President Neil Farrell and Chief Compliance Officer Aidan Cloherty. It has 3 employees.
Staff
- 3 employees
- 3 in advisory functions
- 3 state-registered reps
- 1 insurance agent
- Owns 75% or more of Farrell Financial LLC
Neil Farrell
Control person · since July 2014
Farrell Financial’s regulatory assets grew Infinity× from $0 (July 2022) to $201M (August 2026); employees rose from 2 to 3.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Aug 2026August 2026 | $201M | 233 | 3 | 1 |
| Feb 2025February 2025 | $172M | 284 | 2 | 1 |
| Jul 2024July 2024 | $142M | 340 | 2 | 1 |
| Jul 2023July 2023 | $112M | 266 | 2 | 1 |
| Jul 2022July 2022 | $0 | 0 | 2 | 1 |
Besides its headquarters, Farrell Financial has 0 offices, with 1 listed address in 1 state.
New York · 1 listed address
- 21 Princeton Place, Suite 105, Orchard ParkHQ
Contact and registration details
- Legal name
- Farrell Financial LLC
- Headquarters
- 21 Princeton Place, Suite 105, Orchard Park, NY 14127
- Website
- farrellfinancialllc.com
- Phone
- 716-508-8504
- @farrell-financial-llc
- SEC file
- 801-125815
- Structure
- New York LLC
- Fiscal year end
- December
Farrell Financial’s named custodian for separately managed accounts is Charles Schwab ($200M). Farrell Financial has custody of $7.83M for 4 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $200M100%
At year end, Farrell Financial’s separately managed accounts were mostly in stocks (91%). Its reported 13F holdings for the quarter ended 30 June 2026 total $185M across 83 positions; the largest are Vanguard Index Fds (10.3%), Vanguard World FD (7.0%) and Schwab Strategic TR (6.9%).
What the accounts hold
- Stocks91%
- Funds6%
- Bonds2%
- U.S. government and agency bonds1%
- Investment grade corporate bonds1%
- Cash1%
How many clients does Farrell Financial have?
Farrell Financial has 233 clients and manages $201 million for them, as of August 2026. They include 189 individual clients and 44 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 11 August 2026
What services does Farrell Financial offer?
Farrell Financial provides financial planning, portfolio management for individuals and small businesses, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
Which custodians does Farrell Financial use?
Farrell Financial’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $200M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 11 August 2026
How many financial advisors does Farrell Financial have?
Farrell Financial has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Farrell Financial invest in?
At the end of its last fiscal year, Farrell Financial’s separately managed accounts held 91% exchange-traded equities, 6% registered funds (mutual funds, ETFs, BDCs), 1% U.S. government and agency bonds, 1% investment grade corporate bonds and 1% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Farrell Financial?
Farrell Financial’s direct owner is Neil Farrell (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 11 August 2026
How does Farrell Financial get paid?
Farrell Financial is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Farrell Financial?
Farrell Financial’s main office is at 21 Princeton Place, Suite 105, Orchard Park, NY 14127. Its phone number is 716-508-8504. Its website is farrellfinancialllc.com.