FARRELL FINANCIAL
FARRELL FINANCIAL LLC Legal Name
Adviser information for FARRELL FINANCIAL last updated from Form ADV on January 15th, 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 | New York, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 340 | $142.2M |
| Non-Discretionary | 0 | $0 |
| Total | 340 | $142.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 316 | $74.3M |
| HNW Individuals | 24 | $67.7M |
| 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 | <5 | $199,838 |
| 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 | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-125815 |
|---|---|
| SEC ERA File Number | 801-125815 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 321609 |
| Legal Entity Identifier | None |
Principal Office
21 PRINCETON PLACESUITE 105
ORCHARD PARK
NY
United States
Monday - Friday, 9 AM - 5 PM
Tel: 716-508-8504, Fax: None
Chief Compliance Officer
NEIL VINCENT FARRELL
VICE PRESIDENT
21 PRINCETON PLACE
SUITE 105
ORCHARD PARK
NY
United States
Tel:
716-508-7883
N**@**********************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 |
|---|---|---|---|---|---|
| FARRELL, NEIL, JOSEPH | Individual | – | PRESIDENT | 07/2014 | > 75% |
| FARRELL, NEIL, VINCENT | Individual | – | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 06/2022 | < 5% |