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FINANCIAL ACTION, INC.

MONUMENT, CO · CRD 140285 · IAPD ↗ · faiinv.com · 719-357-7189

$100.3MRegulatory AUM
4Advisory reps
6Employees
14Clients
51-100Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

44
October 2026 — FINANCIAL ACTION, INC. notice-filed in AZ, NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
July 2026 — FINANCIAL ACTION, INC. notice-filed in OK.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
May 2026 — FINANCIAL ACTION, INC. (MONUMENT, CO) is newly SEC-registered with $100.3M RAUM and 4 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.