DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Finley Financial, LLC
Latest filing Jan 26, 2026
First filing on the tape Apr 2, 2012 · 18 filings
SEC status approved since Jun 22, 2017
RAUM
$260M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$260M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$260M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$260M as of Jan 26, 2026
Apr 2, 2012$53.6M then
HNW client RAUM$201M as of Jan 26, 2026
Mar 14, 2018$83.5M then
State-registered IARs (5.B.3)1 as of Jan 26, 2026
Apr 2, 20120 then
Employees (5.A)1 as of Jan 26, 2026
Mar 14, 20181 then
Private funds: no history
RAUM +28% over the last fiscal year+22% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $260MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $895,932derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$201M77%
- Individuals$58.7M23%
- Individual clients
- 46reported
- HNW clients
- 78reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 290reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jason Donald FinleyCertified Financial Planner | Las Vegas, Nv | Oct 22, 2004 | 30 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Jason Donald Finley from Securities America Advisors, Inc.Oct 22, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Donald Jason Finley · Chief Compliance Officer/Membercontrolsince 09/2004 · owns 75% or more
- Marie Laura Finley · Minority Ownersince 07/2024 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 304 to 290Feb 11, 2025 to Jan 26, 2026
- HNW clients · 76 to 78Feb 11, 2025 to Jan 26, 2026
- Individual clients · 48 to 46Feb 11, 2025 to Jan 26, 2026
- Discretionary RAUM · $202M to $260MFeb 11, 2025 to Jan 26, 2026
- HNW RAUM · $148M to $201MFeb 11, 2025 to Jan 26, 2026
- Individual RAUM · $54.6M to $58.7MFeb 11, 2025 to Jan 26, 2026
- RAUM · $202M to $260MFeb 11, 2025 to Jan 26, 2026
- Accounts · 295 to 304Aug 8, 2024 to Feb 11, 2025
- HNW clients · 72 to 76Aug 8, 2024 to Feb 11, 2025
- Individual clients · 46 to 48Aug 8, 2024 to Feb 11, 2025
- Financial planning clients · 0 to 0Aug 8, 2024 to Feb 11, 2025
- Discretionary RAUM · $176M to $202MAug 8, 2024 to Feb 11, 2025
- HNW RAUM · $128M to $148MAug 8, 2024 to Feb 11, 2025
- Individual RAUM · $47.6M to $54.6MAug 8, 2024 to Feb 11, 2025
- RAUM · $176M to $202MAug 8, 2024 to Feb 11, 2025
- Succession · true to falseJul 26, 2024 to Aug 8, 2024
- HQ city · MCMINNVILLE to LAS VEGASFeb 21, 2024 to Jul 26, 2024
- HQ state · OR to NVFeb 21, 2024 to Jul 26, 2024
- Succession · false to trueFeb 21, 2024 to Jul 26, 2024
- Accounts · 289 to 295Feb 8, 2023 to Feb 21, 2024
- HNW clients · 64 to 72Feb 8, 2023 to Feb 21, 2024
- Individual clients · 51 to 46Feb 8, 2023 to Feb 21, 2024
- Discretionary RAUM · $144M to $176MFeb 8, 2023 to Feb 21, 2024
- HNW RAUM · $103M to $128MFeb 8, 2023 to Feb 21, 2024
- Individual RAUM · $41.1M to $47.6MFeb 8, 2023 to Feb 21, 2024
- RAUM · $144M to $176MFeb 8, 2023 to Feb 21, 2024
- Accounts · 284 to 289Feb 21, 2022 to Feb 8, 2023
- HNW clients · 62 to 64Feb 21, 2022 to Feb 8, 2023
- Individual clients · 55 to 51Feb 21, 2022 to Feb 8, 2023
- Discretionary RAUM · $184M to $144MFeb 21, 2022 to Feb 8, 2023
- HNW RAUM · $131M to $103MFeb 21, 2022 to Feb 8, 2023
- Individual RAUM · $53.3M to $41.1MFeb 21, 2022 to Feb 8, 2023
- RAUM · $184M to $144MFeb 21, 2022 to Feb 8, 2023
- Accounts · 280 to 284Jan 29, 2021 to Feb 21, 2022
- HNW clients · 60 to 62Jan 29, 2021 to Feb 21, 2022
- Discretionary RAUM · $154M to $184MJan 29, 2021 to Feb 21, 2022
- HNW RAUM · $111M to $131MJan 29, 2021 to Feb 21, 2022
- Individual RAUM · $43.2M to $53.3MJan 29, 2021 to Feb 21, 2022
- RAUM · $154M to $184MJan 29, 2021 to Feb 21, 2022
- Accounts · 314 to 280May 14, 2020 to Jan 29, 2021
Signals
2 dated events
- Finley Financial, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 26, 2024 · Succession (Item 4) · fact
- Finley Financial, Llc filed its initial SEC registration (Form ADV)May 18, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 503-474-3535reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- FINLEYFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 503-474-3535reportedpublic record, Form ADV, Jan 26, 2026
- Contact form
- finleyfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $260Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026