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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

FINANCIAL DIRECTIONS LLC

CRD 108475

TUCSON, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:eecec930-ca56-1380-c2d5-fb027a78955b

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 24, 2026
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $738MItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $738M
Private client RAUM: $738MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $246Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2,488
Individual clients: 2,332
High net worth clients: 156
SEC number: 801-56919
CRD: 108475
Filings on the tape: 17
First filed: Mar 30, 2012
Latest filed: Mar 24, 2026
Organised: Limited Liability Company, AZ
Website: financialdirectionsllc.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
CHRISTOPHER MICHAEL HAMBACHER	n/a	TUCSON, AZ	5	17	n/a	no
MARY LEE CHERBA	n/a	TUCSON, AZ	4	27	n/a	no
STANTON WILLIAM SPACKEEN	n/a	TUCSON, AZ	4	36	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CHERBA, MARY, LEE	CHIEF COMPLIANCE OFFICER	Na	yes	09/2005	Mar 30, 2012	Mar 25, 2024
GRIFFITH, FRANK, BERTRAM	MEMBER RETIRED	D	yes	03/2014	Mar 30, 2012	Mar 25, 2024
SPACKEEN, STANTON, WILLIAM	MANAGING MEMBER	D	yes	03/1996	Mar 30, 2012	Mar 25, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 24, 2026	$738M	$738M	3	3	0	n/a	n/a
2024	Mar 5, 2025	$672M	$672M	3	3	0	n/a	n/a
2023	Mar 25, 2024	$561M	$561M	3	3	0	n/a	n/a
2022	Mar 21, 2023	$557M	$557M	4	4	0	n/a	n/a
2021	Mar 29, 2022	$535M	$535M	6	6	0	n/a	n/a
2020	Mar 23, 2021	$470M	$470M	7	7	0	n/a	n/a
2019	Mar 26, 2020	$412M	$412M	7	7	0	n/a	n/a
2018	Mar 31, 2019	$393M	$393M	7	7	1	n/a	n/a
2017	Mar 29, 2018	$356M	$356M	7	7	1	n/a	n/a
2016	Mar 31, 2017	$324M	$324M	7	7	n/a	n/a	n/a
2015	Mar 29, 2016	$272M	$272M	7	7	n/a	n/a	n/a
2014	Mar 23, 2015	$260M	$260M	7	7	n/a	n/a	n/a
2013	Mar 24, 2014	$250M	$250M	6	6	n/a	n/a	n/a
2012	Mar 5, 2013	$216M	$216M	6	6	n/a	n/a	n/a
2011	Mar 30, 2012	$158M	$158M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$738M	$672M	9.7%	$557M	9.9%	3	3	0	0

Relationships

Registered with (3)

← STANTON WILLIAM SPACKEENAdvisorregistration: current employment
Sep 19, 2022 to presentfactForm ADV
← MARY LEE CHERBAAdvisorregistration: current employment
Jun 24, 2022 to presentfactForm ADV
← CHRISTOPHER MICHAEL HAMBACHERAdvisorregistration: current employment
Nov 20, 2020 to presentfactForm ADV

Controls (3)

← GRIFFITH, FRANK, BERTRAMOwnerMEMBER RETIRED, ownership code D, individual
Mar 30, 2012 to Mar 25, 2024factForm ADV
← SPACKEEN, STANTON, WILLIAMOwnerMANAGING MEMBER, ownership code D, individual
Mar 30, 2012 to Mar 25, 2024factForm ADV
← CHERBA, MARY, LEEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to Mar 25, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eecec930-ca56-1380-c2d5-fb027a78955b
First observed: Mar 30, 2012
Last observed: Mar 24, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FINANCIAL DIRECTIONS LLC

CRD 108475

TUCSON, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:eecec930-ca56-1380-c2d5-fb027a78955b

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:48 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CHRISTOPHER MICHAEL HAMBACHER

n/a

TUCSON, AZ

n/a

MARY LEE CHERBA

n/a

TUCSON, AZ

n/a

STANTON WILLIAM SPACKEEN

n/a

TUCSON, AZ

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHERBA, MARY, LEE

CHIEF COMPLIANCE OFFICER

yes

09/2005

Mar 30, 2012

Mar 25, 2024

GRIFFITH, FRANK, BERTRAM

MEMBER RETIRED

yes

03/2014

Mar 30, 2012

Mar 25, 2024

SPACKEEN, STANTON, WILLIAM

MANAGING MEMBER

yes

03/1996

Mar 30, 2012

Mar 25, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$738M

n/a

2024

Mar 5, 2025

$672M

n/a

2023

Mar 25, 2024

$561M

n/a

2022

Mar 21, 2023

$557M

n/a

2021

Mar 29, 2022

$535M

n/a

2020

Mar 23, 2021

$470M

n/a

2019

Mar 26, 2020

$412M

n/a

2018

Mar 31, 2019

$393M

n/a

2017

Mar 29, 2018

$356M

n/a

2016

Mar 31, 2017

$324M

n/a

2015

Mar 29, 2016

$272M

n/a

2014

Mar 23, 2015

$260M

n/a

2013

Mar 24, 2014

$250M

n/a

2012

Mar 5, 2013

$216M

n/a

2011

Mar 30, 2012

$158M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$738M

$672M

9.7%

$557M

9.9%