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FLAHARTY ASSET MANAGEMENT, LLC

CLEARWATER, FL · CRD 168495 · IAPD ↗ · 727-252-1050

$901.6MRegulatory AUM
9Advisory reps
10Employees
0Clients
0Planning clients
0Private funds
22States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

49
April 2026 — FLAHARTY ASSET MANAGEMENT, LLC notice-filed in KS, MA, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
April 2025 — FLAHARTY ASSET MANAGEMENT, LLC notice-filed in LA, NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
April 2025 — FLAHARTY ASSET MANAGEMENT, LLC now reports custody of client assets ($52.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
61
April 2024 — FLAHARTY ASSET MANAGEMENT, LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

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