← Tributary

FARRELL FINANCIAL

ORCHARD PARK, NY · CRD 321609 · IAPD ↗ · farrellfinancialllc.com · 716-508-8504

$200.6MRegulatory AUM
3Advisory reps
3Employees
0Clients
101-250Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

44
March 2025 — FARRELL FINANCIAL notice-filed in FL, MA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
August 2024 — FARRELL FINANCIAL now reports custody of client assets ($4.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
60
February 2024 — FARRELL FINANCIAL reported RAUM up 27% ($112.0M -> $142.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
70
February 2024 — FARRELL FINANCIAL reports 101-250 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.