Finley Financial provides portfolio management for individuals and small businesses.
Finley Financial reports 124 clients. They include 78 high-net-worth individuals and 46 individual clients. Of its assets, 100.0% ($260M across 290 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 37% | 23% |
| High-net-worth individuals | 63% | 77% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 46 | $58.7M | 22.6% | $1.28M |
| High-net-worth individuals | 78 | $201M | 77.4% | $2.58M |
| Total | 124 | $260M | 100% | $2.1M |
- Clients
- 46
- Regulatory AUM
- $58.7M
- AUM share
- 22.6%
- Avg. per client
- $1.28M
- Clients
- 78
- Regulatory AUM
- $201M
- AUM share
- 77.4%
- Avg. per client
- $2.58M
Total
- Clients
- 124
- Regulatory AUM
- $260M
- AUM share
- 100%
- Avg. per client
- $2.1M
- 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
- 0
Finley Financial charges up to 1.50% a year for its Standard Fee Schedule. The fee is billed in advance and is negotiable.
Fee details and sources
Jason Finley owns 75% or more of Finley Financial. The leadership team of Finley Financial includes Chief Compliance Officer Jason Finley. It has 1 employee.
Leadership
- Jason FinleyChief Compliance Officer/Member
- Laura FinleyMinority Owner
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
- Jason Donald Finley
Staff
- 1 employee
- 1 in advisory functions
- 1 state-registered rep
- Owns 75% or more of Finley Financial, LLC
Jason Finley
Control person · since September 2004
- Owns 10% to 25% of Finley Financial, LLC
Laura Finley
since July 2024
Finley Financial’s regulatory assets grew 1.7× from $154M (January 2021) to $260M (January 2026); clients rose from 115 to 124 and employees were 1 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| January 2026 | $260M | 124 | 1 | 1 |
| February 2025 | $202M | 124 | 1 | 1 |
| July 2024 | $176M | 118 | 1 | 1 |
| February 2023 | $144M | 115 | 1 | 1 |
| February 2022 | $184M | 117 | 1 | 1 |
| January 2021 | $154M | 115 | 1 | 1 |
Besides its headquarters, Finley Financial has 0 offices, with 1 listed address in Nevada.
Nevada · 1 listed address
- 11421 Rain Canyon Ave, 102, Las VegasHQ
Contact and registration details
- Legal name
- Finley Financial, LLC
- Headquarters
- 11421 Rain Canyon Ave, 102, Las Vegas, NV 89135
- Website
- finleyfinancial.com
- Phone
- 503-474-3535
- SEC file
- 801-110657
- Founded
- 2004
- Structure
- Nevada LLC
- Fiscal year end
- December
Finley Financial uses Fidelity ($260M) as custodian for its separately managed accounts. Finley Financial does not have custody of client assets.
- FidelityFidelity Brokerage Services LLC · Smithfield, RI · $260M100%
At year end, Finley Financial’s separately managed accounts were mostly in stocks (92%). Its reported 13F holdings for the quarter ended 30 June 2026 total $248M across 110 positions; the largest are iShares Russell 3000 ETF (11.9%), iShares Russell 2000 ETF (10.5%) and iShares TR Core MSCI Total (8.8%).
What the accounts hold
- Stocks92%
- Funds3%
- Cash5%
Reported 13F holdings
- $248M
- Reported 13F value
- 110
- Positions
- 68.2%
- In the 10 largest
- +16.3%
- Value vs. prior quarter
- iShares Russell 3000 ETF · Russell 3000 ETF11.9%
- iShares Russell 2000 ETF · Russell 2000 ETF10.5%
- iShares TR Core MSCI Total · Core MSCI Total8.8%
- Invesco Qqq TR Unit Ser 1 · Unit Ser 17.0%
- iShares Trust MSCI Emg Mkts ETF Usd Dis · MSCI Emg Mkt ETF6.2%
- iShares US Technology ETF · U.S. Tech ETF6.1%
- iShares Core S&P Mid-cap ETF · Core S&P Mcp ETF6.0%
- iShares TR Rus 1000 Grw ETF · Rus 1000 Grw ETF5.9%
- iShares Russell 1000 Value ETF · Rus 1000 Val ETF3.3%
- iShares TR Micro-cap ETF · Micro-cap ETF2.6%
Together, the ten largest are 68.2% of reported value.
How many clients does Finley Financial have?
Finley Financial has 124 clients and manages $260 million for them, as of January 2026. They include 78 high-net-worth individuals and 46 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 26 January 2026
What services does Finley Financial offer?
Finley Financial provides portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Finley Financial charge?
Finley Financial charges up to 1.50% a year for its Standard Fee Schedule. The fee is billed in advance and is negotiable.
Source: FINLEY FINANCIAL, LLC - ADV PART 2A, filed 26 January 2026
Which custodians does Finley Financial use?
Finley Financial’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $260M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 January 2026
How many financial advisors does Finley Financial have?
Finley Financial has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Finley Financial invest in?
At the end of its last fiscal year, Finley Financial’s separately managed accounts held 92% exchange-traded equities, 5% cash and equivalents and 3% pooled vehicles (private funds and similar).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Finley Financial?
Finley Financial’s direct owners are Jason Finley (75% or more) and Laura Finley (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 26 January 2026
How does Finley Financial get paid?
Finley 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
Is Finley Financial registered with the SEC?
Yes, Finley Financial has been registered with the SEC as an investment adviser since 22 June 2017. Its CRD number is 131442 and its SEC file number is 801-110657.
Source: Form ADV Part 1A, Item 1, filed 26 January 2026; IAPD firm record
How do I contact Finley Financial?
Finley Financial’s main office is at 11421 Rain Canyon Ave, 102, Las Vegas, NV 89135. Its phone number is 503-474-3535. Its website is finleyfinancial.com.