AdvisorGrade
Fee-basedFiduciaryNo reported disclosuresLocal

Financial Management, INC.

Financial Management, INC. is a fee-based, SEC-registered investment adviser in Little Rock, Arkansas, registered with the SEC since 2022, managing approximately $224M. As an SEC-registered adviser it is held to a fiduciary standard. Its exact fee schedule and account minimums are disclosed in Form ADV Part 2A.

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Source: SEC Form ADV · CRD #108350 · SEC #801-126707 · SEC-registered since 2022 (4 yrs) · Last filing data January 1, 2026

AUM
$224M

as of 2026

Fee model
Fee-based

per Form ADV 5.E

Clients
1

Form ADV 5.C — may be institutional

Employees
6

5 advisers

Assets per adviser

$45Mper adviser

A scale-normalized measure that lets you compare large and small firms. The typical firm in our directory manages about $102M per adviser — this firm is more adviser-heavy (fewer assets per adviser).

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Overview

AI-generated summary

Financial Management, INC. is a fee-based, SEC-registered investment adviser based in Little Rock, Arkansas. It reported approximately $224M in regulatory assets under management on its most recent Form ADV. The firm reported no disclosures on its most recent Form ADV filing.

This summary is generated from Form ADV data and may not capture all nuances. Always review the complete SEC filing before making decisions.

Firm details

CRD #
108350
SEC #
801-126707
Headquarters
Little Rock, AR
Employees
6

Clients served

Client types not reported on this filing.

Fees & compensation

  • Compensation model: Fee-based — the firm reports client fees and may also receive commissions on certain products.
  • Typical fee range: See Part 2A. Exact advisory fee rates are reported in Form ADV Part 2A, not Part 1.
  • Account minimum: See Part 2A. Minimums are disclosed in the firm's Part 2A brochure.
  • Custodial, trading, and fund expenses may apply in addition to advisory fees. See the firm's Form ADV Part 2A for the complete fee schedule.

Assets under management

2026$224M
Assets under management by year
YearReported AUM
2026$224M

Reflects the most recent Form ADV filing. Multi-year history is added as additional historical filings are ingested.

Disclosures

Financial Management, INC. reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.

Frequently asked questions

Is Financial Management, INC. a fiduciary?+

Yes. Financial Management, INC. is an SEC-registered investment adviser (CRD #108350), which means it is held to a fiduciary standard and must act in its clients' best interest. Verify its current status on the SEC's Investment Adviser Public Disclosure (IAPD) site.

How is Financial Management, INC. compensated?+

Financial Management, INC. reports a fee-based compensation model on its Form ADV. Fee-based advisers charge client fees and may also earn commissions on certain products. Exact fee rates and account minimums are disclosed in the firm's Form ADV Part 2A brochure.

How much money does Financial Management, INC. manage?+

Financial Management, INC. reported approximately $224M in regulatory assets under management as of its most recent Form ADV filing.

Does Financial Management, INC. have any disclosures?+

Financial Management, INC. reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.

This profile is generated from publicly available SEC filings. Financial Management, INC. has not verified or endorsed this information. Last updated from filings: January 1, 2026. View the official filing at SEC IAPD.

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