Data / Investment advisers / North Carolina / Tolley Financial Group, LLC
Tolley Financial Group, LLC, Raleigh, NC: $122 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Tolley Financial Group, LLC is an SEC registered investment adviser with its main office in Raleigh, North Carolina and reports $122 million in regulatory assets under management in its Form ADV filed August 11, 2026. Its clients include individuals, high net worth individuals and pension and profit sharing plans. It is paid through a percentage of assets under management and fixed fees.
The request: Watch Tolley Financial Group, LLC (CRD number 302115): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
SpecStream is the live web data engine for teams and agents. It reads the SEC's Form ADV files every month, and this page is that reading, keyed on the CRD number. Ask for the advisers you track by state, city, size, client type or private funds, and new registrations and filings arrive in your sheet, CRM, Slack or agent as the SEC publishes them.
- Registration
- SEC registered investment adviser
- CRD number
- 302115
- SEC file number
- 801-136207
- SEC status
- Approved, effective May 7, 2026
- Main office
- 7101 Creedmoor Road Suite 123, Raleigh, NC 27613
- Phone
- (919) 747-9698
- Website
- tolleyfinancialgroup.com
- Regulatory AUM
- $121,857,197 in the Form ADV filed August 11, 2026
- Discretionary AUM
- $121,857,197
- Accounts
- 448
- Employees
- 1, of which 1 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- August 11, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 139 | $53.5 million |
| High net worth individuals | 31 | $53 million |
| Pension and profit sharing plans | 15 | $9.6 million |
| Insurance companies | 7 | $5.7 million |
Other advisers in Raleigh
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| ARK Royal Wealth Management LLC | Raleigh | $169.3 million | Not listed | adviserinfo.sec.gov |
| The Wealth Group, LTD | Raleigh | $160.2 million | Not listed | adviserinfo.sec.gov |
| Pendleton Financial Wealth Management | Raleigh | $160 million | Not listed | adviserinfo.sec.gov |
| Aim Advisors, LLC | Raleigh | $158.2 million | Not listed | adviserinfo.sec.gov |
| Sound Financial Management, Inc. | Raleigh | $134.1 million | Not listed | adviserinfo.sec.gov |
| TRG Capital Management, Inc. | Raleigh | $118.2 million | 1 | adviserinfo.sec.gov |
| Hatteras Investment Partners, LP | Raleigh | $114.8 million | 4 | adviserinfo.sec.gov |
| Evergreen Wealth Advisors | Raleigh | $112.5 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Raleigh, NC
- Investment advisers in North Carolina
- Advisers with $100 million to $500 million in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Tolley Financial Group, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.