FINLEY FINANCIAL, LLC
Adviser information for FINLEY FINANCIAL, LLC last updated from Form ADV on February 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Oregon, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 295 | $176.0M |
| Non-Discretionary | 0 | $0 |
| Total | 295 | $176.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 46 | $47.6M |
| HNW Individuals | 72 | $128.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-110657 |
|---|---|
| SEC ERA File Number | 801-110657 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 131442 |
| Legal Entity Identifier | None |
Principal Office
1709 NE 27TH STREETSUITE B
MCMINNVILLE
OR
United States
BY APPOINTMENT, BY APPOINTMENT
Tel: 503-474-3535, Fax: None
Websites
Chief Compliance Officer
JAY FINLEY
1709 NE 27TH STREET
SUITE B
MCMINNVILLE
OR
United States
Tel:
503-474-3535
J******@******************M
(Full email address available in API data)
Regulatory Contact
JOHN T. CARR
ATTORNEY
6650 SW REDWOOD LANE
SUITE 220
PORTLAND
OR
United States
Tel:
503-635-2955
J****@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FINLEY, JASON, DONALD | Individual | – | CHIEF COMPLIANCE OFFICER/MEMBER | 09/2004 | > 75% |