Tolley Financial Group provides financial planning, portfolio management for individuals and small businesses, and pension consulting. Financial planning was provided to 11–25 clients last fiscal year.
Tolley Financial Group reports 192 clients. They include 139 individual clients, 31 high-net-worth individuals, and 15 pension and profit-sharing plans. Of its assets, 100.0% ($122M across 448 accounts) are managed with discretion. It advised 77 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 72% | 44% |
| High-net-worth individuals | 16% | 44% |
| Pension and profit-sharing plans | 8% | 8% |
| Insurance companies | 4% | 5% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 139 | $53.5M | 43.9% | $385K |
| High-net-worth individuals | 31 | $53M | 43.5% | $1.71M |
| Pension and profit-sharing plans | 15 | $9.57M | 7.9% | $638K |
| Insurance companies | 7 | $5.73M | 4.7% | $819K |
| Total | 192 | $122M | 100% | $635K |
- Clients
- 139
- Regulatory AUM
- $53.5M
- AUM share
- 43.9%
- Avg. per client
- $385K
- Clients
- 31
- Regulatory AUM
- $53M
- AUM share
- 43.5%
- Avg. per client
- $1.71M
- Clients
- 15
- Regulatory AUM
- $9.57M
- AUM share
- 7.9%
- Avg. per client
- $638K
- Clients
- 7
- Regulatory AUM
- $5.73M
- AUM share
- 4.7%
- Avg. per client
- $819K
Total
- Clients
- 192
- Regulatory AUM
- $122M
- AUM share
- 100%
- Avg. per client
- $635K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 77
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
Tolley Financial Group charges 0.25%–1.25% a year for its Investment Management Services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable. The brochure also prices 3 other services, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$1M | 1.25% |
| $1M–$2.5M | 1.00% |
| $2.5M–$5M | 0.75% |
| $5M–$10M | 0.50% |
| $10M and above | 0.25% |
Fee details and sources
Other fees
- DST and 1031 Planning
- Planning for DST investments in 1031 exchanges carries a maximum fixed fee of 0.80%, negotiable with each client.
- Financial Planning Fixed Fee
- Financial planning is offered on a negotiable fixed fee of $1,500 to $4,000, with half due at the start of the work.
- Retirement Plan Consulting Fee
- 401(k) plan investment advisory fee is an annual rate by asset band, from 0.85% up to $1,000,000 down to 0.25% above $20,000,000, negotiable, with a $850 minimum annual fee.
Thomas Tolley owns 75% or more of Tolley Financial Group. It has 1 employee.
Leadership
- Thomas TolleyManaging Member and CCO
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
Staff
- 1 employee
- 1 in advisory functions
- 1 state-registered rep
- 1 insurance agent
- Owns 75% or more of Tolley Financial Group, LLC
Thomas Tolley
Control person · since April 2019
Besides its headquarters, Tolley Financial Group has 0 offices, with 1 listed address in North Carolina.
North Carolina · 1 listed address
- 7101 Creedmoor Road, Suite 123, RaleighHQ
Contact and registration details
- Legal name
- Tolley Financial Group, LLC
- Headquarters
- 7101 Creedmoor Road, Suite 123, Raleigh, NC 27613
- Website
- tolleyfinancialgroup.com
- Phone
- 919-747-9698
- SEC file
- 801-136207
- Structure
- North Carolina LLC
- Fiscal year end
- December
Tolley Financial Group uses Charles Schwab ($114M, 94%) and Dunham & Associates Investment Counsel ($7.81M, 6%) as custodians for its separately managed accounts. Tolley Financial Group does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $114M94%
- Dunham & Associates Investment CounselDunham & Associates Investment Counsel, Inc. · San Diego, CA · $7.81M6%
At year end, Tolley Financial Group’s separately managed accounts were mostly in funds (87%).
What the accounts hold
- Stocks9%
- Funds87%
- Cash4%
How many clients does Tolley Financial Group have?
Tolley Financial Group has 192 clients and manages $122 million for them, as of August 2026. They include 139 individual clients, 31 high-net-worth individuals, and 15 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 11 August 2026
What services does Tolley Financial Group offer?
Tolley Financial Group provides financial planning, portfolio management for individuals and small businesses, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Tolley Financial Group charge?
Tolley Financial Group charges 0.25%–1.25% a year for its Investment Management Services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.
Which custodians does Tolley Financial Group use?
Tolley Financial Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $114M and Dunham & Associates Investment Counsel, Inc. (San Diego, CA), with $7.81M. 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 Tolley Financial Group have?
Tolley Financial Group has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 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 Tolley Financial Group invest in?
At the end of its last fiscal year, Tolley Financial Group’s separately managed accounts held 87% registered funds (mutual funds, ETFs, BDCs), 9% exchange-traded equities and 4% 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 Tolley Financial Group?
Tolley Financial Group’s direct owner is Thomas Tolley (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 11 August 2026
How does Tolley Financial Group get paid?
Tolley Financial Group is paid through a percentage of assets under management 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 Tolley Financial Group?
Tolley Financial Group’s main office is at 7101 Creedmoor Road, Suite 123, Raleigh, NC 27613. Its phone number is 919-747-9698. Its website is tolleyfinancialgroup.com.