FINANCIAL MANAGEMENT, INC.
Adviser information for FINANCIAL MANAGEMENT, INC. last updated from Form ADV on March 25th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arkansas, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 338 | $117.5M |
| Non-Discretionary | 9 | $556,352 |
| Total | 347 | $118.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 126 | $32.9M |
| HNW Individuals | 23 | $54.2M |
| 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 | <5 | $1.3M |
| Charitable organizations | <5 | $8.1M |
| 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 | 10 | $21.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesBUSINESS CONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-126707 |
|---|---|
| SEC ERA File Number | 801-126707 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108350 |
| Legal Entity Identifier | None |
Principal Office
521 PRESIDENT CLINTON AVENUESUITE 800
LITTLE ROCK
AR
United States
Monday - Friday, 8:00 AM TO 4:30 PM
Tel: 501-227-7400, Fax: 501-227-9422
Chief Compliance Officer
JESSICA L. WALLACE
521 PRESIDENT CLINTON AVENUE
SUITE 800
LITTLE ROCK
AR
United States
Tel:
501-227-7400
Fax:
501-227-9422
J********@************M
(Full email address available in API data)
Regulatory Contact
HAROLD F. GRUBBS
PRESIDENT
521 PRESIDENT CLINTON AVENUE
SUITE 800
LITTLE ROCK
AR
United States
Tel:
501-227-7400
Fax:
501-227-9422
H*******@************M
(Full email address available in API data)
Industry Affiliates
| CREWS & ASSOCIATES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisorInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GRUBBS, HAROLD, FRANKLIN | Individual | – | PRESIDENT | 11/1986 | < 5% |
| WALLACE, JESSICA, LYNNE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2019 | < 5% |
| GRUBBS, BRANDON, HEATH | Individual | – | CHIEF INVESTMENT OFFICER | 10/2009 | < 5% |
| CREWS CORE HOLDING COMPANY | Domestic Entity | – | SHAREHOLDER | 06/2022 | > 75% |
| FIRST SECURITY BANCORP | Domestic Entity | CREWS CORE HOLDING COMPANY | OWNER | 06/2022 | > 75% |
| CLAY, DENNIS, CHARLES | Individual | – | CHIEF EXECUTIVE OFFICER | 06/2022 | < 5% |
| BUMPERS, JOSEPH, PARROTT | Individual | – | CHIEF FINANCIAL OFFICER | 06/2022 | < 5% |