← Tributary

FRIDAY FINANCIAL

DUBUQUE, IA · CRD 329748 · IAPD ↗ · (563) 552-7526

$409.3MRegulatory AUM
6Advisory reps
9Employees
0Clients
251-500Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
September 2026 — FRIDAY FINANCIAL notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
March 2026 — FRIDAY FINANCIAL notice-filed in MO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
73
March 2026 — FRIDAY FINANCIAL reported RAUM up 94% ($210.5M -> $409.3M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
76
March 2026 — FRIDAY FINANCIAL reports 251-500 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
67
April 2025 — FRIDAY FINANCIAL reported RAUM up 63% ($129.1M -> $210.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
42
September 2024 — FRIDAY FINANCIAL notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
46
June 2024 — FRIDAY FINANCIAL notice-filed in IL, TX, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
June 2024 — FRIDAY FINANCIAL now reports custody of client assets ($44.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
June 2024 — FRIDAY FINANCIAL's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
March 2024 — FRIDAY FINANCIAL (DUBUQUE, IA) is newly SEC-registered (provisional 120-day approval) with $0 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.