← Tributary

FINLEY WEALTH ADVISORS

ESTERO, FL · CRD 142776 · IAPD ↗ · mywealthadvisor.com · 239-267-7500

$119.5MRegulatory AUM
2Advisory reps
3Employees
0Clients
51-100Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
April 2026 — FINLEY WEALTH ADVISORS (ESTERO, FL) left the SEC roster (was $119.5M RAUM, 2 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
42
August 2025 — FINLEY WEALTH ADVISORS notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
February 2025 — FINLEY WEALTH ADVISORS (ESTERO, FL) is newly SEC-registered with $114.6M RAUM and 3 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.