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FINANCIAL DIRECTIONS LLC
CRD 108475File 801-56919
APPROVED
Retail clients
Filing as of Mar 24, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$737.8M
Above cohort median (national)
Discretionary AUM
$737.8M
Clients
2,488
2,488 accounts
Employees
3
Top 25% of cohort in AZ
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Oct 18, 1999
- Principal office
- 1228 EAST PRINCE ROAD, TUCSON, AZ, 85719
- Phone
- 520-408-7777
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $737.8M
- Discretionary AUM
- $737.8M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 2,488
- Non-discretionary accounts
- 0
- Total accounts
- 2,488
- AUM per client
- $297K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 156 | $452.8M |
| Individuals (other than high net worth individuals) | 2,332 | $285.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 3,344 | 2,488 | decreased by856 |
| Apr 1, 2026 | AUM | $672,472,149 | $737,846,215 | increased by$65,374,066 |
| Apr 1, 2026 | Accounts | 3,200 | 2,488 | decreased by712 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 6 | 3 | decreased by3 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 2,721 | 3,344 | increased by623 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $535,488,991 | $672,472,149 | increased by$136,983,158 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,721 | 3,200 | increased by479 |
| Apr 1, 2022 | Employees | 7 | 6 | decreased by1 |
| Apr 1, 2022 | Clients | 1,777 | 2,721 | increased by944 |
| Apr 1, 2022 | AUM | $469,635,775 | $535,488,991 | increased by$65,853,216 |
| Apr 1, 2022 | Accounts | 1,777 | 2,721 | increased by944 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “FINANCIAL DIRECTIONS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“FINANCIAL DIRECTIONS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.