{"url":"https://nivawealth.com/firms/farris-capital-management-169051","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/169051","regulatoryAum":177504806,"crd":"169051","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7545157","suffix":null,"lastName":"DAY","firstName":"COLLIN","middleName":"NEAL"},{"crd":"4725738","suffix":null,"lastName":"FARRIS","firstName":"JUSTIN","middleName":"CHILDS"},{"crd":"6056088","suffix":null,"lastName":"HENLEY","firstName":"PAUL","middleName":"TYLER"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2022-05-25","regulatoryAum":115052775,"clients":303,"employees":3,"offices":1},{"filedOn":"2023-05-23","regulatoryAum":102845018,"clients":301,"employees":3,"offices":1},{"filedOn":"2024-06-04","regulatoryAum":127395783,"clients":355,"employees":3,"offices":1},{"filedOn":"2025-02-24","regulatoryAum":154107202,"clients":378,"employees":3,"offices":1},{"filedOn":"2026-02-05","regulatoryAum":177504806,"clients":395,"employees":3,"offices":1}],"secFileNumber":"801-123391","legalName":"Farris Capital Management Inc.","displayName":"Farris Capital Management","slug":"farris-capital-management-169051","website":"https://farriscap.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"xUrl":"https://twitter.com/farriscapital","founded":null,"organization":"Texas corporation","fiscalYearEnd":"December","headquarters":{"street":"4425 Plano Pkwy, Ste. 1701","city":"Carrollton","state":"TX","stateName":"Texas","country":"United States","postalCode":"75010"},"tradeNames":[],"registration":{"secApproved":"8 March 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BROCHURE"},{"role":"other","program":"Financial planning (hourly)","summary":"Financial planning is billed hourly at $250 per hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006730","versionId":1006730,"submittedOn":"2026-02-05","documentName":"FARRIS CAPITAL ADV PART 2A DISCLOSURE BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:48:39.605067+00:00","documents":[{"name":"FARRIS CAPITAL ADV PART 2A DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006730","versionId":1006730,"submittedOn":"2026-02-05"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":62699178},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":47182444}],"custodyNote":"Farris Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Justin Farris","title":"Chief Compliance Officer and Managing Member","crd":"4725738"}],"ownership":[{"label":"Justin Farris","detail":"Chief compliance officer and managing member in the 75% or more ownership band and a control person, since August 2013."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"4425 Plano Pkwy, Ste. 1701","city":"Carrollton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"214-525-2141","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Publication of periodicals or newsletters","Educational seminars/workshops"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":14},{"label":"U.S. government/agency bonds","percent":2},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":77},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":3},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"5 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/169051/PDF/169051.pdf","brochureDate":"5 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006730","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Farris Capital Management have?","answer":"Farris Capital Management has 395 clients and manages $178 million for them, as of February 2026. They include 346 individual clients and 49 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Farris Capital Management offer?","answer":"Farris Capital Management provides financial planning, portfolio management for individuals and small businesses, publishing newsletters, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Farris Capital Management use?","answer":"Farris Capital Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $62.7M and Charles Schwab & Co., Inc. (San Francisco, CA), with $47.2M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Farris Capital Management have?","answer":"Farris Capital Management 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 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Farris Capital Management invest in?","answer":"At the end of its last fiscal year, Farris Capital Management’s separately managed accounts held 77% registered funds (mutual funds, ETFs, BDCs), 14% exchange-traded equities, 3% pooled vehicles (private funds and similar), 3% cash and equivalents, 2% U.S. government and agency bonds and 1% investment grade corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Farris Capital Management?","answer":"Farris Capital Management’s direct owner is Justin Farris (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 5 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Farris Capital Management get paid?","answer":"Farris Capital Management is paid through a percentage of assets under management, hourly charges and fixed fees. 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Farris Capital Management?","answer":"Farris Capital Management’s main office is at 4425 Plano Pkwy, Ste. 1701, Carrollton, TX 75010. Its phone number is 214-525-2141. Its website is farriscap.com.","source":"Form ADV Part 1A, Item 1.F, filed 5 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}