Hedge Fund Database

ABLE FINANCIAL GROUP, LLC

Adviser information for ABLE FINANCIAL GROUP, LLC last updated from Form ADV on March 23rd, 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 Arizona, United States

Employees

Total Number of Employees 12
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 9
Registered State Investment Advisers 7
Licensed Agents of an Insurance Company 6
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,342 $457.9M
Non-Discretionary 15 $9.5M
Total 1,357 $467.4M

Clients

Type Number RAUM
Individuals 302 $105.9M
HNW Individuals 185 $347.5M
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 <5 $1.7M
Charitable organizations 7 $5.8M
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 6 $6.5M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1
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 servicesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-127165
SEC ERA File Number 801-127165
SEC CIK Numbers 1977500
SEC CRD Numbers 323646
Legal Entity Identifier None

Principal Office

8737 E. VIA DE COMMERCIO
SUITE 100
SCOTTSDALE
AZ
United States
Monday - Friday, 7AM - 5PM
Tel: 480-258-6104, Fax: None

Websites

www.ablefinancialgroup.com www.facebook.com/people/able-financial-group/100043057692779/ twitter.com/ablefinancialgr linkedin.com/company/81954901

Chief Compliance Officer

ADAM BROOKS
MANAGING DIRECTOR AND SENIOR FINANCIAL ADVISOR
8737 E. VIA DE COMMERCIO
SUITE 100
SCOTTSDALE
AZ
United States
Tel: 480-258-6108
(Full email address available in API data)

Regulatory Contact

JOSEF KHAN
CLIENT SERVICE ASSOCIATE
8737 E. VIA DE COMMERCIO
SUITE 100
SCOTTSDALE
AZ
United States
Tel: 480-258-2212
(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
THE BROOKS FAMILY TRUST DTD 03/20/2022 Domestic Entity – MEMBER 01/2023 > 75%
BROOKS, ADAM, MICHAEL Individual – CHIEF COMPLIANCE OFFICER 01/2023 < 5%
BROOKS, ADAM, MICHAEL Individual THE BROOKS FAMILY TRUST DTD 03/20/2022 CO-TRUSTEE 03/2001
BROOKS, CYNTHIA, SCHEPPS Individual THE BROOKS FAMILY TRUST DTD 03/20/2022 CO-TRUSTEE 03/2001

No. Employees, Historic

2010020222023202420256 on 12/9/20226 on 1/9/202312 on 5/9/202312 on 11/15/202312 on 3/23/2024

RAUM, Historic

500M250M020222023202420250 on 12/9/20220 on 1/9/2023360427406 on 5/9/2023360427406 on 11/15/2023467401584 on 3/23/2024

No. Clients, Historic

500250020222023202420250 on 12/9/20220 on 1/9/2023422 on 5/9/2023422 on 11/15/2023500 on 3/23/2024

Holdings

From latest 13F, filed July 26th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 713K 7K 0
ABBVIE INC COM 546K 3K 0
ACCENTURE PLC IRELAND SHS CLASS A 204K 674 0
AFLAC INC COM 341K 4K 0
ALIGN TECHNOLOGY INC COM 724K 3K 0
ALPHABET INC CAP STK CL A 2M 10K 0
ALPHABET INC CAP STK CL C 620K 3K 0
AMAZON COM INC COM 4M 23K 0
AMERICAN CENTY ETF TR US SML CP VALU 10M 106K 0
AMERICAN CENTY ETF TR AVANTIS RESPON U 362K 6K 0
AMERICAN EAGLE OUTFITTERS IN COM 382K 19K 0
AMERICAN TOWER CORP NEW COM 1M 6K 0
AMERICAN WTR WKS CO INC NEW COM 822K 6K 0
AMGEN INC COM 201K 645 0
APPLE INC COM 9M 44K 0
ASPEN TECHNOLOGY INC COM 1M 6K 0
AUTOMATIC DATA PROCESSING IN COM 252K 1K 0
BANK AMERICA CORP COM 448K 11K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 827K 2K 0
BLACKROCK INC COM 683K 868 0
BROADCOM INC COM 2M 1K 0
BROADRIDGE FINL SOLUTIONS IN COM 657K 3K 0
CHEVRON CORP NEW COM 1M 7K 0
CLOROX CO DEL COM 427K 3K 0
COCA COLA CO COM 295K 5K 0
COMCAST CORP NEW CL A 2M 39K 0
CONSTELLATION ENERGY CORP COM 270K 1K 0
COPART INC COM 244K 5K 0
COSTCO WHSL CORP NEW COM 3M 4K 0
DEERE & CO COM 240K 643 0
DIAMONDBACK ENERGY INC COM 1M 6K 0
DOMINOS PIZZA INC COM 2M 3K 0
ELI LILLY & CO COM 867K 958 0
ENCOMPASS HEALTH CORP COM 892K 10K 0
EXXON MOBIL CORP COM 374K 3K 0
FAIR ISAAC CORP COM 231K 155 0
FEDERATED HERMES INC CL B 826K 25K 0
FEDEX CORP COM 751K 3K 0
FIDELITY COVINGTON TRUST ENHANCED LARGE 519K 17K 0
FIDELITY MERRIMACK STR TR TOTAL BD ETF 3M 67K 0
FIRST SOLAR INC COM 294K 1K 0
FIRST TR EXCH TRD ALPHDX FD EMERG MKT ALPH 234K 10K 0
FIRST TR EXCH TRD ALPHDX FD DEV MRK EX US 428K 8K 0
FIRST TR EXCH TRD ALPHDX FD EUROPE ALPHADEX 533K 14K 0
FIRST TR EXCHANGE TRAD FD VI FST TR GLB FD 4M 156K 0
FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 531K 5K 0
FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 374K 2K 0
FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 18M 211K 0
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 20M 372K 0
FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 624K 8K 0
FIRST TR EXCHANGE-TRADED FD MANAGD MUN ETF 2M 44K 0
FIRST TR EXCHNG TRADED FD VI FT VEST LADDERED 9M 326K 0
FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 486K 11K 0
FIRST TR LRG CP VL ALPHADEX COM SHS 537K 7K 0
FIRST TR LRGE CP CORE ALPHA COM SHS 230K 2K 0
FIRST TR MID CAP CORE ALPHAD COM SHS 327K 3K 0
FIRST TR NASDAQ 100 TECH IND SHS 257K 1K 0
FIRST TR VALUE LINE DIVID IN SHS 917K 23K 0
FIRST TRUST LRGCP GWT ALPHAD COM SHS 416K 3K 0
FLOWSERVE CORP COM 774K 16K 0
FMC CORP COM NEW 233K 4K 0
GOLDMAN SACHS ETF TR ACTIVEBETA US LG 212K 2K 0
GOLDMAN SACHS GROUP INC COM 355K 784 0
HASBRO INC COM 468K 8K 0
HEALTHEQUITY INC COM 1M 17K 0
HOME DEPOT INC COM 2M 5K 0
HONEYWELL INTL INC COM 246K 1K 0
INTERNATIONAL BUSINESS MACHS COM 289K 2K 0
INTUIT COM 304K 463 0
INVESCO DB MULTI-SECTOR COMM OIL FD 163K 10K 0
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 358K 2K 0
INVESCO QQQ TR UNIT SER 1 474K 989 0
ISHARES GOLD TR ISHARES NEW 337K 8K 0
ISHARES INC CORE MSCI EMKT 7M 127K 0
ISHARES TR CORE 1 5 YR USD 869K 18K 0
ISHARES TR ESG AW MSCI EAFE 396K 5K 0
ISHARES TR ESG AWR MSCI USA 382K 3K 0
ISHARES TR ESG AWR US AGRGT 258K 6K 0
ISHARES TR SELECT DIVID ETF 395K 3K 0
ISHARES TR CORE US AGGBD ET 9M 93K 0
ISHARES TR CORE S&P TTL STK 226K 2K 0
ISHARES TR ISHS 1-5YR INVS 7M 130K 0
ISHARES TR NATIONAL MUN ETF 2M 18K 0
ISHARES TR MSCI ACWI EX US 729K 14K 0
ISHARES TR AGGRES ALLOC ETF 338K 5K 0
ISHARES TR MSCI EAFE ETF 14M 180K 0
ISHARES TR RUS MID CAP ETF 8M 96K 0
ISHARES TR CORE S&P MCP ETF 748K 13K 0
ISHARES TR CORE S&P SCP ETF 5M 51K 0
ISHARES TR CORE S&P500 ETF 1M 2K 0
ISHARES TR S&P 500 GRWT ETF 326K 4K 0
ISHARES TR RUS 1000 VAL ETF 2M 12K 0
ISHARES TR RUS 1000 GRW ETF 308K 844 0
ISHARES TR RUSSELL 2000 ETF 577K 3K 0
ISHARES TR U.S. REAL ES ETF 279K 3K 0
ISHARES TR EXPANDED TECH 213K 2K 0
ISHARES TR 1 3 YR TREAS BD 1M 13K 0
ISHARES TR 7-10 YR TRSY BD 4M 43K 0
ISHARES TR 20 YR TR BD ETF 3M 32K 0
ISHARES TR IBOXX INV CP ETF 528K 5K 0
JOHNSON & JOHNSON COM 503K 3K 0
JPMORGAN CHASE & CO. COM 2M 8K 0
KLA CORP COM NEW 1M 1K 0
LABCORP HOLDINGS INC COM SHS 205K 1K 0
LINDE PLC SHS 313K 713 0
LOWES COS INC COM 405K 2K 0
MARATHON OIL CORP COM 604K 21K 0
MARRIOTT INTL INC NEW CL A 305K 1K 0
MASTERCARD INCORPORATED CL A 319K 722 0
MCDONALDS CORP COM 1M 4K 0
MEDTRONIC PLC SHS 508K 6K 0
MERCK & CO INC COM 786K 6K 0
META PLATFORMS INC CL A 1M 2K 0
MICROSOFT CORP COM 6M 14K 0
MOTOROLA SOLUTIONS INC COM NEW 618K 2K 0
NETAPP INC COM 1M 8K 0
NETFLIX INC COM 368K 546 0
NOVO-NORDISK A S ADR 424K 3K 0
NVIDIA CORPORATION COM 4M 29K 0
NXP SEMICONDUCTORS N V COM 975K 4K 0
OLLIES BARGAIN OUTLET HLDGS COM 659K 7K 0
OMNICOM GROUP INC COM 900K 10K 0
ORACLE CORP COM 407K 3K 0
OREILLY AUTOMOTIVE INC COM 213K 202 0
OSHKOSH CORP COM 610K 6K 0
PEPSICO INC COM 1M 7K 0
PGIM ETF TR TOTAL RETURN BON 4M 93K 0
PHILLIPS 66 COM 224K 2K 0
PIMCO ETF TR SHTRM MUN BD ACT 3M 53K 0
PIMCO ETF TR ENHAN SHRT MA AC 238K 2K 0
PRICE T ROWE GROUP INC COM 2M 18K 0
PROCTER AND GAMBLE CO COM 537K 3K 0
QUALCOMM INC COM 435K 2K 0
REPUBLIC SVCS INC COM 602K 3K 0
RESMED INC COM 549K 3K 0
ROCKWELL AUTOMATION INC COM 272K 989 0
SCHWAB STRATEGIC TR US BRD MKT ETF 432K 7K 0
SCHWAB STRATEGIC TR SHT TM US TRES 462K 10K 0
SELECT SECTOR SPDR TR COMMUNICATION 253K 3K 0
SELECT SECTOR SPDR TR ENERGY 213K 2K 0
SELECT SECTOR SPDR TR INDL 261K 2K 0
SELECT SECTOR SPDR TR TECHNOLOGY 381K 2K 0
SELECT SECTOR SPDR TR SBI HEALTHCARE 211K 1K 0
SELECT SECTOR SPDR TR SBI INT-UTILS 234K 3K 0
SPDR GOLD TR GOLD SHS 7M 34K 0
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 2M 65K 0
SPDR S&P 500 ETF TR TR UNIT 4M 8K 0
SPDR SER TR PRTFLO S&P500 GW 2M 22K 0
SPDR SER TR S&P 400 MDCP VAL 352K 5K 0
STRYKER CORPORATION COM 210K 618 0
SYNOPSYS INC COM 1M 2K 0
TELLURIAN INC NEW COM 7K 10K 0
TESLA INC COM 264K 1K 0
TEXAS INSTRS INC COM 343K 2K 0
TEXTRON INC COM 328K 4K 0
THE CIGNA GROUP COM 222K 671 0
TREX CO INC COM 519K 7K 0
UNION PAC CORP COM 764K 3K 0
UNITEDHEALTH GROUP INC COM 951K 2K 0
VALERO ENERGY CORP COM 339K 2K 0
VANECK ETF TRUST LONG MUNI ETF 7M 382K 0
VANGUARD BD INDEX FDS SHORT TRM BOND 910K 12K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 381K 761 0
VANGUARD INDEX FDS MID CAP ETF 453K 2K 0
VANGUARD INDEX FDS REAL ESTATE ETF 4M 43K 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 327K 7K 0
VANGUARD MUN BD FDS TAX EXEMPT BD 9M 176K 0
VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 499K 9K 0
VANGUARD SPECIALIZED FUNDS DIV APP ETF 401K 2K 0
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 236K 5K 0
VISA INC COM CL A 858K 3K 0
WALMART INC COM 630K 9K 0