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

Flaharty Asset Management, LLC

Independent wealth managerClearwater, FloridaCRD 168495SEC 801-78437websiteIAPD
Latest filing Mar 19, 2026
First filing on the tape Aug 7, 2013 · 33 filings
SEC status approved since Aug 27, 2013
RAUM
$902M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$867M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$90.2M
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$902M as of Mar 19, 2026
Mar 15, 2014$256M then
HNW client RAUM$741M as of Mar 19, 2026
Mar 29, 2018$234M then
State-registered IARs (5.B.3)10 as of Mar 19, 2026
Mar 15, 20144 then
Employees (5.A)10 as of Mar 19, 2026
Mar 15, 20149 then
Private funds: no history
RAUM +11% over the last fiscal year+9.7% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Mar 19, 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
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$90.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
110derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$459,066derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
5.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+11%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
$899MreportedItem 5.I
Custody
$142M, 110 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$741M82%
  • Individuals$126M14%
  • Corporations and businesses$29.1M3.2%
  • Pension and profit-sharing plans$4.4M0.5%
  • Charitable organizations$1.3M0.1%
Individual clients
548reported
HNW clients
556reported
Pension plan clients
6reported
Charitable clients
4reported
Accounts
1,964reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$142M for 110 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=10.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Shon Edward FlahartyCertified Financial PlannerKansas City, Mo Sep 9, 201330 y3
Larry Eugene WeichtClearwater, Fl Sep 30, 201328 y4
John Hunter OrrChartered Financial AnalystClearwater, Fl Oct 9, 201318 y0
Andrew Joseph OswaldCertified Financial PlannerClearwater, Fl Nov 12, 201419 y2
Brian Allen InmanKansas City, Mo Nov 28, 201728 y3
Mathew Christopher LepakPunta Gorda, Fl Dec 14, 202023 y6
Michael Vincent DemskiChartered Financial AnalystClearwater, Fl Aug 20, 202111 y1
Stafford Andre LawrenceClearwater, Fl Mar 20, 202511 y2
Fallon L FlahartyClearwater, Fl Dec 8, 202512 y0
Kamella Lynn DavisClearwater, Fl Jan 8, 202629 y4
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 10% of current headcount3 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Edward Shon Flaharty · Ceo, Elected Managercontrol
      since 06/2013 · owns less than 5%
    • Mita Melissa Robinson · Cco / Coocontrol
      since 05/2024 · owns less than 5%
    • Edward Shon Flaharty · Manager And Membercontrol
      since 07/2007 · owns 75% or more of Flaharty & Associates, LLC
    • Hunter John Orr · Chief Investment Officer
      since 01/2014 · owns 10% to 25%
    Entity owners
    • Flaharty & Associates, LLC · Owner, Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • Flaharty Insurance, LLC
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Clearwater, Fl · principal1021
    Punta Gorda, Fl200
    Offices
    Schedule D 1.F, the 25 largest
    • Punta Gorda, FL1 employees
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • account count surgeChange between filings · filing Mar 19, 2026
      accounts (Item 5.F.2.f) moved from 1,121.0 to 1,964.0 (+75.0%) between the annual amendments of 2025-04-03 and 2026-03-19; the peer median change was +6.0% (1256 comparable advisers, 96.0th percentile of changes)
      peers: independent wealth managers, $500M to $1B (1,256) · 96% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 1,121 to 1,964
      Jan 2, 2026 to Mar 19, 2026
    • Advisory employees · 8 to 9
      Jan 2, 2026 to Mar 19, 2026
    • BD registered reps · 9 to 10
      Jan 2, 2026 to Mar 19, 2026
    • Charity clients · 5 to 4
      Jan 2, 2026 to Mar 19, 2026
    • Corporate clients · 13 to 16
      Jan 2, 2026 to Mar 19, 2026
    • HNW clients · 554 to 556
      Jan 2, 2026 to Mar 19, 2026
    • Individual clients · 541 to 548
      Jan 2, 2026 to Mar 19, 2026
    • Pension plan clients · 8 to 6
      Jan 2, 2026 to Mar 19, 2026
    • Assets in custody · $52.9M to $142M
      Jan 2, 2026 to Mar 19, 2026
    • Employees · 9 to 10
      Jan 2, 2026 to Mar 19, 2026
    • Financial planning clients · 1-10 to 0
      Jan 2, 2026 to Mar 19, 2026
    • State-registered IARs · 9 to 10
      Jan 2, 2026 to Mar 19, 2026
    • Discretionary RAUM · $801M to $899M
      Jan 2, 2026 to Mar 19, 2026
    • HNW RAUM · $656M to $741M
      Jan 2, 2026 to Mar 19, 2026
    • Individual RAUM · $117M to $126M
      Jan 2, 2026 to Mar 19, 2026
    • Non-discretionary RAUM · $8.9M to $2.2M
      Jan 2, 2026 to Mar 19, 2026
    • Pension RAUM · $8.1M to $4.4M
      Jan 2, 2026 to Mar 19, 2026
    • RAUM · $810M to $902M
      Jan 2, 2026 to Mar 19, 2026
    • Accounts · 2,006 to 1,121
      Jun 6, 2024 to Apr 3, 2025
    • Advisory employees · 9 to 8
      Jun 6, 2024 to Apr 3, 2025
    • Corporate clients · 14 to 13
      Jun 6, 2024 to Apr 3, 2025
    • HNW clients · 551 to 554
      Jun 6, 2024 to Apr 3, 2025
    • Individual clients · 628 to 541
      Jun 6, 2024 to Apr 3, 2025
    • Assets in custody · unset to 52879373.0
      Jun 6, 2024 to Apr 3, 2025
    • Custody of client assets · false to true
      Jun 6, 2024 to Apr 3, 2025
    • Employees · 11 to 9
      Jun 6, 2024 to Apr 3, 2025
    • Insurance-licensed employees · 0 to 4
      Jun 6, 2024 to Apr 3, 2025
    • Financial planning clients · 1-10 to 1-10
      Jun 6, 2024 to Apr 3, 2025
    • Discretionary RAUM · $749M to $801M
      Jun 6, 2024 to Apr 3, 2025
    • HNW RAUM · $595M to $656M
      Jun 6, 2024 to Apr 3, 2025
    • Individual RAUM · $126M to $117M
      Jun 6, 2024 to Apr 3, 2025
    • Non-discretionary RAUM · $12.6M to $8.9M
      Jun 6, 2024 to Apr 3, 2025
    • Pension RAUM · $12.6M to $8.1M
      Jun 6, 2024 to Apr 3, 2025
    • RAUM · $761M to $810M
      Jun 6, 2024 to Apr 3, 2025
    • Accounts · 1,944 to 2,006
      May 24, 2023 to Mar 18, 2024
    • Advisory employees · 10 to 9
      May 24, 2023 to Mar 18, 2024
    • BD registered reps · 10 to 9
      May 24, 2023 to Mar 18, 2024
    • Corporate clients · 15 to 14
      May 24, 2023 to Mar 18, 2024
    • HNW clients · 535 to 551
      May 24, 2023 to Mar 18, 2024
    • Individual clients · 641 to 628
      May 24, 2023 to Mar 18, 2024
    Signals
    6 dated events
    • 2 advisors left LPL Financial LLC (Belleair, FL) for Flaharty Asset Management, LLC on the same day
      Jun 3, 2026 · Team lift-out · derived
    • Todd D Demko left Flaharty Asset Management, Llc for Ameriprise Financial Services, Llc (registered 2025-01-06)
      Nov 18, 2024 · Advisor changed firm · fact
    • Mita Melissa Robinson (Cco / Coo) appeared on Schedule A of Flaharty Asset Management, Llc
      Jun 6, 2024 · Control person joined · fact
    • Riley Robert Giauque left Flaharty Asset Management, Llc for Lpl Financial Llc (registered 2023-11-27)
      Nov 28, 2023 · Advisor changed firm · fact
    • Flaharty Asset Management, Llc reported RAUM $645.4M, up 54% from $419.0M (2020-12-02 to 2021-03-24)
      Mar 24, 2021 · RAUM change · derived
    • Flaharty Asset Management, Llc filed its initial SEC registration (Form ADV)
      Aug 7, 2013 · 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
    410-757-7980reportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    727-252-1050reportedpublished by the firm, firm site, Sep 15, 2026
    Firm profile
    linkedin.com/company/flahartyllc/posts/?feedView=allreportedpublic record, Form ADV, Sep 17, 2026
    Website
    FLAHARTYLLC.COMreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    727-252-1050reportedpublic record, Form ADV, Mar 19, 2026
    Contact form
    modwm.com/contact-usreportedpublished by the firm, firm site, Sep 15, 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
    $90.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026