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FINANCIAL MANAGEMENT ASSOCIATES, LLC

WINDHAM, NH · CRD 327502 · IAPD ↗ · fmallc.com · 978-687-2867

$135.8MRegulatory AUM
1Advisory reps
3Employees
4Clients
1-10Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
April 2026 — FINANCIAL MANAGEMENT ASSOCIATES, LLC notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2026 — FINANCIAL MANAGEMENT ASSOCIATES, LLC moved its main office from NORTH ANDOVER, MA to WINDHAM, NH.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
50
April 2025 — FINANCIAL MANAGEMENT ASSOCIATES, LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
April 2025 — FINANCIAL MANAGEMENT ASSOCIATES, LLC reports 11-25 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
50
July 2024 — FINANCIAL MANAGEMENT ASSOCIATES, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
42
March 2024 — FINANCIAL MANAGEMENT ASSOCIATES, LLC notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
February 2024 — FINANCIAL MANAGEMENT ASSOCIATES, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP

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