{"url":"https://nivawealth.com/firms/flaharty-asset-management-168495","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/168495","regulatoryAum":901606202,"crd":"168495","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2831913","suffix":null,"lastName":"DAVIS","firstName":"KAMELLA","middleName":"LYNN"},{"crd":"6535223","suffix":null,"lastName":"DEMSKI","firstName":"MICHAEL","middleName":"VINCENT"},{"crd":"6640758","suffix":null,"lastName":"Flaharty","firstName":"Fallon","middleName":"L"},{"crd":"2666498","suffix":null,"lastName":"FLAHARTY","firstName":"SHON","middleName":"EDWARD"},{"crd":"2879645","suffix":null,"lastName":"INMAN","firstName":"BRIAN","middleName":"ALLEN"},{"crd":"6905395","suffix":null,"lastName":"LAWRENCE","firstName":"STAFFORD","middleName":"ANDRE"},{"crd":"2606121","suffix":null,"lastName":"LEPAK","firstName":"MATHEW","middleName":"CHRISTOPHER"},{"crd":"5642020","suffix":null,"lastName":"ORR","firstName":"JOHN","middleName":"HUNTER"},{"crd":"5153830","suffix":null,"lastName":"OSWALD","firstName":"ANDREW","middleName":"JOSEPH"},{"crd":"2922265","suffix":"II","lastName":"WEICHT","firstName":"LARRY","middleName":"EUGENE"}],"total":10,"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":"2021-04-30","regulatoryAum":645373241,"clients":1133,"employees":9,"offices":2},{"filedOn":"2022-03-15","regulatoryAum":771934005,"clients":1168,"employees":12,"offices":2},{"filedOn":"2023-05-24","regulatoryAum":682629834,"clients":1203,"employees":11,"offices":2},{"filedOn":"2024-06-06","regulatoryAum":761160791,"clients":1206,"employees":11,"offices":2},{"filedOn":"2025-04-03","regulatoryAum":809577048,"clients":1121,"employees":9,"offices":2},{"filedOn":"2026-03-19","regulatoryAum":901606202,"clients":1130,"employees":10,"offices":2}],"secFileNumber":"801-78437","legalName":"Flaharty 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Flaharty Asset Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Flaharty Asset Management charge?","answer":"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.","source":"WRAP BROCHURE, filed 6 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Flaharty Asset Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Flaharty Asset Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Flaharty Asset Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Flaharty Asset Management have a minimum investment?","answer":"Yes, Flaharty Asset Management’s minimum account size for its Flaharty Investment Management (IM) wrap program is $250K.","source":"WRAP BROCHURE, filed 6 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Flaharty Asset Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Flaharty Asset Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Flaharty Asset Management?","answer":"Flaharty Asset Management’s main office is at 311 Park Place BLVD., Suite 150, Clearwater, FL 33759. Its phone number is 727-252-1050. 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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."}