Flaharty Asset Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, educational seminars, and insurance.
Flaharty Asset Management reports 1,130 clients. They include 556 high-net-worth individuals, 548 individual clients, and 16 corporations and other businesses. Of its assets, 99.8% ($899M across 1,957 accounts) are managed with discretion; $2.23M across 7 accounts are not. A wrap fee program the firm both sponsors and manages holds $899M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 48% | 14% |
| High-net-worth individuals | 49% | 82% |
| Pension and profit-sharing plans | <1% | <1% |
| Charitable organizations | <1% | <1% |
| Corporations and other businesses | 1% | 3% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 548 | $126M | 13.9% | $229K |
| High-net-worth individuals | 556 | $741M | 82.2% | $1.33M |
| Pension and profit-sharing plans | 6 | $4.38M | 0.5% | $730K |
| Charitable organizations | 4 | $1.34M | 0.1% | $335K |
| Corporations and other businesses | 16 | $29.1M | 3.2% | $1.82M |
| Total | 1,130 | $902M | 100% | $798K |
- Clients
- 548
- Regulatory AUM
- $126M
- AUM share
- 13.9%
- Avg. per client
- $229K
- Clients
- 556
- Regulatory AUM
- $741M
- AUM share
- 82.2%
- Avg. per client
- $1.33M
- Clients
- 6
- Regulatory AUM
- $4.38M
- AUM share
- 0.5%
- Avg. per client
- $730K
- Clients
- 4
- Regulatory AUM
- $1.34M
- AUM share
- 0.1%
- Avg. per client
- $335K
- Clients
- 16
- Regulatory AUM
- $29.1M
- AUM share
- 3.2%
- Avg. per client
- $1.82M
Total
- Clients
- 1,130
- Regulatory AUM
- $902M
- AUM share
- 100%
- Avg. per client
- $798K
- 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
Flaharty Asset Management charges up to 2.00% a year for its Flaharty Investment Management (IM) wrap program. The fee is billed in advance, is negotiable and requires an account of at least $250,000. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial planning and consulting
- Financial planning and consulting are billed hourly at a maximum of $350 per hour, or as a flat fee of up to $25,000, negotiated per client.
Flaharty & Associates, LLC owns 75% or more of Flaharty Asset Management and is in turn owned by Shon Flaharty (75% or more). The leadership team of Flaharty Asset Management includes Chief Investment Officer John Orr. It has 10 employees, 9 of them in advisory roles.
Leadership
- Shon FlahartyCEO, Elected
- John OrrChief Investment Officer
Investment adviser representatives
10 representatives listed in the SEC register as of 9 October 2026.
Staff
- 10 employees
- 9 in advisory functions
- 10 state-registered reps
- 10 broker-dealer reps
- 5 insurance agents
- Owns 75% or more of Flaharty Asset Management, LLC
Flaharty & Associates, LLC
Control person · since June 2013
- Owns 75% or more of Flaharty & Associates, LLC
Shon Flaharty
Control person · since July 2007
- Owns 10% to 25% of Flaharty Asset Management, LLC
John Orr
since January 2014
Flaharty Asset Management’s regulatory assets grew from $645M (April 2021) to $902M (March 2026); clients were 1,130 in both filings and employees rose from 9 to 10.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $902M | 1,130 | 10 | 2 |
| April 2025 | $810M | 1,121 | 9 | 2 |
| June 2024 | $761M | 1,206 | 11 | 2 |
| May 2023 | $683M | 1,203 | 11 | 2 |
| March 2022 | $772M | 1,168 | 12 | 2 |
| April 2021 | $645M | 1,133 | 9 | 2 |
Besides its headquarters, Flaharty Asset Management has 1 office, with 2 listed addresses in Florida.
Florida · 2 listed addresses
- 311 Park Place BLVD., Suite 150, ClearwaterHQ
- 122 Nesbit Street, Punta Gorda
Contact and registration details
- Legal name
- Flaharty Asset Management, LLC
- Headquarters
- 311 Park Place BLVD., Suite 150, Clearwater, FL 33759
- Website
- flahartyllc.com
- Phone
- 727-252-1050
- @flahartyllc
- SEC file
- 801-78437
- Founded
- 2013
- Structure
- Florida LLC
- Fiscal year end
- December
Flaharty Asset Management uses LPL Financial ($899M, 99%) and Charles Schwab ($10.7M, 1%) as custodians for its separately managed accounts. Flaharty Asset Management has custody of $142M in client assets for 110 clients.
The filed custodian amounts total more than regulatory assets under management. Each amount is shown as filed.
- LPL FinancialLPL Financial LLC · Boston, MA · $899M99%
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $10.7M1%
At year end, Flaharty Asset Management’s separately managed accounts were mostly in funds (91%). Its reported 13F holdings for the quarter ended 30 June 2026 total $69.9M across 52 positions; the largest are Pimco ETF TR (6.6%), Janus Detroit Str TR (4.2%) and First TR Exchange-traded FD (4.2%).
What the accounts hold
- Stocks6%
- Funds91%
- Cash3%
Reported 13F holdings
- $69.9M
- Reported 13F value
- 52
- Positions
- 40.7%
- In the 10 largest
- −91.3%
- Value vs. prior quarter
- Pimco ETF TR · Enhan Shrt MA AC6.6%
- Janus Detroit Str TR · Hendrson Aaa CL4.2%
- First TR Exchange-traded FD · Senior LN FD4.2%
- Select Sector SPDR TR · ST Str Finl ETF3.8%
- Invesco Exchange Traded FD T · Divid Achievev3.8%
- American Centy ETF TR · Diversifid Crp3.8%
- Columbia ETF TR II · EM Core EX ETF3.7%
- SPDR Series Trust · ST Str SP Div3.7%
- First TR Exchange Traded FD · Nasd Tech Div3.6%
- Select Sector SPDR TR · ST Str Indl ETF3.4%
Together, the ten largest are 40.7% of reported value.
How many clients does Flaharty Asset Management have?
Flaharty Asset Management has 1,130 clients and manages $902 million for them, as of March 2026. They include 556 high-net-worth individuals, 548 individual clients, and 16 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 19 March 2026
What services does Flaharty Asset Management offer?
Flaharty Asset Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, educational seminars, and insurance.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Flaharty Asset Management charge?
Flaharty Asset Management charges up to 2.00% a year for its Flaharty Investment Management (IM) wrap program. The fee is billed in advance, is negotiable and requires an account of at least $250,000.
Which custodians does Flaharty Asset Management use?
Flaharty Asset Management’s separately managed account assets are held at LPL Financial LLC (Boston, MA), with $899M and Charles Schwab & Co., Inc. (San Francisco, CA), with $10.7M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 19 March 2026
How many financial advisors does Flaharty Asset Management have?
Flaharty Asset Management has 10 investment adviser representatives registered with state securities authorities, out of 10 employees, and 9 perform investment advisory functions. 10 employees are registered representatives of a broker-dealer and 5 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
What does Flaharty Asset Management invest in?
At the end of its last fiscal year, Flaharty Asset Management’s separately managed accounts held 91% registered funds (mutual funds, ETFs, BDCs), 6% exchange-traded equities and 3% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Flaharty Asset Management have a minimum investment?
Yes, Flaharty Asset Management’s minimum account size for its Flaharty Investment Management (IM) wrap program is $250K.
Who owns Flaharty Asset Management?
Flaharty Asset Management is owned through a holding company by Shon Flaharty. Its direct owners are Flaharty & Associates, LLC (75% or more) and John Orr (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 19 March 2026
How does Flaharty Asset Management get paid?
Flaharty Asset 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
How do I contact Flaharty Asset Management?
Flaharty Asset Management’s main office is at 311 Park Place BLVD., Suite 150, Clearwater, FL 33759. Its phone number is 727-252-1050. Its website is flahartyllc.com.