Hedge Fund Database

FLAHARTY ASSET MANAGEMENT, LLC

Adviser information for FLAHARTY ASSET MANAGEMENT, LLC last updated from Form ADV on March 18th, 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 Florida, United States

Employees

Total Number of Employees 11
Investment Advisory/Research 9
Registered Broker-Dealer Representatives 9
Registered State Investment Advisers 9
Licensed Agents of an Insurance Company 3
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,998 $748.6M
Non-Discretionary 8 $12.6M
Total 2,006 $761.2M

Clients

Type Number RAUM
Individuals 628 $126.1M
HNW Individuals 551 $595.3M
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 8 $12.6M
Charitable organizations 5 $2.0M
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 14 $25.2M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1-10

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)Educational seminars/workshops
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 748.6M
Portfolio Manager to Program Sponsor
FLAHARTY INVESTMENT MANAGEMENT PROGRAM FLAHARTY ASSET MANAGEMENT, LLC

Identifiers

SEC RIA File Number 801-78437
SEC ERA File Number 801-78437
SEC CIK Numbers 1697882
SEC CRD Numbers 168495
Legal Entity Identifier None

Principal Office

311 PARK PLACE BLVD.
SUITE 150
CLEARWATER
FL
United States
Monday - Friday, 8 AM TO 4:30 PM (M-TH); 8 AM TO 4 PM (FR)
Tel: 727-252-1050, Fax: 727-474-3823

Websites

www.facebook.com/flahartyllc/ www.linkedin.com/company/1151835/ www.flahartyllc.com

Chief Compliance Officer

T. GREGORY REYMANN II
311 PARK PLACE BLVD.
SUITE 150
CLEARWATER
FL
United States
Tel: 727-252-1050
Fax: 727-474-3823
(Full email address available in API data)

Regulatory Contact

SHON E. FLAHARTY
MANAGER
311 PARK PLACE BLVD.
SUITE 150
CLEARWATER
FL
United States
Tel: 727-252-1050
Fax: 727-474-3823
(Full email address available in API data)

Industry Affiliates

FLAHARTY INSURANCE, LLC Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
FLAHARTY, SHON, EDWARD Individual – CEO, ELECTED MANAGER 06/2013 < 5%
FLAHARTY & ASSOCIATES, LLC Domestic Entity – OWNER, MEMBER 06/2013 > 75%
FLAHARTY, SHON, EDWARD Individual FLAHARTY & ASSOCIATES, LLC MANAGER AND MEMBER 07/2007 > 75%
ORR, JOHN, HUNTER Individual – CHIEF INVESTMENT OFFICER 01/2014 10-25%
REYMANN, THOMAS, GREGORY Individual – CCO 05/2023 < 5%

No. Employees, Historic

201002020202120222023202420258 on 2/25/20208 on 6/29/202014 on 12/2/20209 on 3/24/20219 on 4/30/20219 on 12/23/202112 on 3/15/202212 on 11/1/202211 on 3/29/202311 on 5/24/202311 on 3/18/2024

RAUM, Historic

800M400M0202020212022202320242025419021755 on 2/25/2020419021755 on 6/29/2020419021755 on 12/2/2020645373241 on 3/24/2021645373241 on 4/30/2021645373241 on 12/23/2021771934005 on 3/15/2022771934005 on 11/1/2022682629834 on 3/29/2023682629834 on 5/24/2023761160791 on 3/18/2024

No. Clients, Historic

2,0001,0000202020212022202320242025937 on 2/25/2020937 on 6/29/2020937 on 12/2/20201133 on 3/24/20211133 on 4/30/20211133 on 12/23/20211168 on 3/15/20221168 on 11/1/20221203 on 3/29/20231203 on 5/24/20231206 on 3/18/2024

Holdings

From latest 13F, filed August 1st, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ADVANCED MICRO DEVICES INC COM 316K 2K –
ALPHABET INC CAP STK CL C 538K 3K –
ALPHABET INC CAP STK CL A 498K 3K –
ALPS ETF TR ALERIAN MLP 2M 36K –
AMAZON COM INC COM 779K 4K –
AMERICAN CENTY ETF TR DIVERSIFID CRP 19M 405K –
AMERICAN CENTY ETF TR US SML CP VALU 16M 178K –
AON PLC SHS CL A 225K 768 –
APPLE INC COM 3M 15K –
APPLIED MATLS INC COM 259K 1K –
ARCADIUM LITHIUM PLC COM SHS 40K 12K –
ASTRAZENECA PLC SPONSORED ADR 944K 12K –
BANK AMERICA CORP COM 502K 13K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 421K 1K –
CATERPILLAR INC COM 2M 5K –
CBIZ INC COM 259K 3K –
CHEVRON CORP NEW COM 205K 1K –
CISCO SYS INC COM 332K 7K –
COINBASE GLOBAL INC COM CL A 333K 2K –
COLUMBIA ETF TR II EM CORE EX ETF 16M 502K –
COMPASS INC CL A 92K 26K –
COSTCO WHSL CORP NEW COM 285K 335 –
CURTISS WRIGHT CORP COM 470K 2K –
DISNEY WALT CO COM 214K 2K –
DUKE ENERGY CORP NEW COM NEW 477K 5K –
DYNATRACE INC COM NEW 224K 5K –
EATON VANCE TAX-MANAGED DIVE COM 893K 64K –
ELI LILLY & CO COM 1M 1K –
EXXON MOBIL CORP COM 563K 5K –
FIRST TR EXCHANGE TRAD FD VI FST TR GLB FD 23M 958K –
FIRST TR EXCHANGE TRADED FD NASDQ CLN EDGE 2M 20K –
FIRST TR EXCHANGE TRADED FD INDXX NEXTG ETF 1M 14K –
FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 2M 12K –
FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 34M 741K –
FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 291K 7K –
FIRST TR EXCHANGE-TRADED FD MULTI ASSET DI 21M 1M –
FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 23M 309K –
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 2M 29K –
FIRST TR EXCHANGE-TRADED FD NASDQ ARTFCIAL 1M 30K –
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 2M 49K –
FIRST TR EXCHANGE-TRADED FD FT VEST S&P 500 14M 275K –
FLEXSHARES TR FLEXSHARES ULTRA 305K 4K –
GLOBAL X FDS S&P 500 COVERED 3M 76K –
GLOBAL X FDS NASDAQ 100 COVER 3M 152K –
GLOBAL X FDS US PFD ETF 19M 954K –
HOME DEPOT INC COM 783K 2K –
HUBSPOT INC COM 236K 400 –
INTEL CORP COM 279K 9K –
INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 385K 6K –
INVESCO EXCH TRADED FD TR II S&P MDCP 400 REV 250K 2K –
INVESCO EXCH TRADED FD TR II S&P 500 REVENUE 608K 7K –
INVESCO EXCH TRD SLF IDX FD BULETSHS 2029 247K 14K –
INVESCO EXCH TRD SLF IDX FD INVSCO BLSH 28 730K 37K –
INVESCO EXCH TRD SLF IDX FD BULSHS 2027 CB 1M 56K –
INVESCO EXCH TRD SLF IDX FD BULSHS 2026 CB 1M 68K –
INVESCO EXCH TRD SLF IDX FD BULSHS 2025 HY 800K 35K –
INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 790K 39K –
INVESCO EXCH TRD SLF IDX FD BULSHS 2024 HY 546K 24K –
INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 1M 63K –
INVESCO EXCHANGE TRADED FD T DIVID ACHIEVEV 35M 832K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL ENR 28M 343K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL UTL 2M 28K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 662K 4K –
INVESCO QQQ TR UNIT SER 1 7M 15K –
ISHARES TR US AER DEF ETF 378K 3K –
ISHARES TR CORE US AGGBD ET 782K 8K –
ISHARES TR NATIONAL MUN ETF 609K 6K –
ISHARES TR RUS MID CAP ETF 241K 3K –
ISHARES TR RUS 1000 VAL ETF 40M 232K –
ISHARES TR RUS 1000 GRW ETF 48M 132K –
ISHARES TR RUS 1000 ETF 1M 4K –
ISHARES TR RUS 2000 GRW ETF 14M 52K –
ISHARES TR RUSSELL 2000 ETF 306K 2K –
ISHARES TR S&P MC 400VL ETF 12M 104K –
ISHARES TR SELECT DIVID ETF 3M 28K –
ISHARES TR TIPS BD ETF 427K 4K –
ISHARES TR U.S. MED DVC ETF 24M 432K –
ISHARES U S ETF TR BLACKROCK SH DUR 369K 7K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 28M 551K –
JABIL INC COM 283K 3K –
JANUS DETROIT STR TR HENDRSON AAA CL 32M 626K –
JANUS DETROIT STR TR HENDERSON MTG 611K 14K –
JOBY AVIATION INC COMMON STOCK 77K 15K –
JOHNSON & JOHNSON COM 2M 11K –
KLA CORP COM NEW 292K 354 –
MCDONALDS CORP COM 385K 2K –
MERCK & CO INC COM 292K 2K –
MICROSOFT CORP COM 4M 9K –
MICROSTRATEGY INC CL A NEW 541K 393 –
NEXTERA ENERGY INC COM 261K 4K –
NVIDIA CORPORATION COM 2M 12K –
OCCIDENTAL PETE CORP COM 487K 8K –
OPORTUN FINL CORP COM 102K 35K –
ORACLE CORP COM 293K 2K –
PALO ALTO NETWORKS INC COM 280K 825 –
PAYCHEX INC COM 362K 3K –
PERPETUA RESOURCES CORP COM 70K 13K –
PIMCO ETF TR ACTIVE BD ETF 20M 215K –
PIMCO ETF TR ENHAN SHRT MA AC 37M 369K –
PROCTER AND GAMBLE CO COM 536K 3K –
PUBLIC SVC ENTERPRISE GRP IN COM 367K 5K –
SELECT SECTOR SPDR TR INDL 2M 19K –
SELECT SECTOR SPDR TR SBI CONS STPLS 30M 394K –
SELECT SECTOR SPDR TR TECHNOLOGY 281K 1K –
SOUTHERN CO COM 314K 4K –
SPDR GOLD TR GOLD SHS 647K 3K –
SPDR S&P 500 ETF TR TR UNIT 3M 6K –
SPDR SER TR PORTFOLIO CRPORT 18M 642K –
SPDR SER TR PORTFOLIO INTRMD 15M 454K –
SPDR SER TR S&P DIVID ETF 26M 202K –
UNITEDHEALTH GROUP INC COM 343K 674 –
VANECK ETF TRUST OIL REFINERS ETF 215K 6K –
VANGUARD INDEX FDS REAL ESTATE ETF 3M 30K –
VANGUARD INDEX FDS TOTAL STK MKT 261K 975 –
VERIZON COMMUNICATIONS INC COM 221K 5K –
VISA INC COM CL A 252K 960 –
VULCAN MATLS CO COM 1M 5K –
WALMART INC COM 244K 4K –
WISDOMTREE TR US AI ENHANCED 279K 3K –