Flaharty Asset Management, Llc
- Regulatory AUM
- $902M
- Discretionary
- $899M
- Clients
- 1,130
- Avg AUM / client
- $798K
- Accounts
- 1,964
- Employees
- 10
AUM over time
Annual snapshots from Form ADV filings · as of Mar 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 548 | $126M | 13.9% |
| High net worth individuals | 556 | $741M | 82.2% |
| Pension and profit sharing plans | 6 | $4.4M | 0.49% |
| Charitable organizations | 4 | $1.3M | 0.15% |
| Corporations and other businesses | 16 | $29.1M | 3.22% |
People (11)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Shon Edward Flaharty | Ceo, Elected Manager | CFP | Jul 2007 (19y) | ≈ 56.25% – 100% via Flaharty & Associates, Llc |
| John Hunter Orr | Chief Investment Officer | CFA | Oct 2013 (13y) | 10% – 25% |
| Robinson, Melissa, Mita | Cco / Coo | May 2024 (2y) | Less than 5% | |
| Larry Eugene Weicht | Registered representative | Sep 2013 (13y) | ||
| Andrew Joseph Oswald | Registered representative | CFP | Nov 2014 (12y) | |
| Brian Allen Inman | Registered representative | Nov 2017 (9y) | ||
| Mathew Christopher Lepak | Registered representative | Dec 2020 (6y) | ||
| Michael Vincent Demski | Registered representative | CFA | Aug 2021 (5y) | |
| Stafford Andre Lawrence | Registered representative | Mar 2025 (1y) | ||
| Fallon L Flaharty | Registered representative | Dec 2025 (1y) | ||
| Kamella Lynn Davis | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Flaharty & Associates, Llc | Owner, Member | Jun 2013 | A | 75% or more |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Shon Edward Flaharty: 75% – 100% of Flaharty & Associates, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/19/2026 | 1 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- LPL Financial $899M (100% of AUM) Mar 2026
- Charles Schwab & Co. $10.7M (1% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 19, 2026.
View current Form ADV (SEC/IAPD) ↗