Flavin Financial Services, Inc.
- Regulatory AUM
- $205M
- Discretionary
- $205M
- Clients
- 182
- Avg AUM / client
- $1.1M
- Accounts
- 459
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 13, 2026
Investments (13F portfolio — 72 positions, $148,610,087)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | J P Morgan Exchange Traded F | ULTRA SHRT ETF | $9,033,176 | 178,486 | 6.08% | 4.41% |
| 2 | Fidelity Merrimack Str Tr | TOTAL BD ETF | $7,549,812 | 165,493 | 5.08% | 3.68% |
| 3 | Ishares Tr | IBONDS 27 TRM TS | $7,214,183 | 321,631 | 4.85% | 3.52% |
| 4 | T Rowe Price Etf Inc | FLOATING RATE | $6,817,334 | 135,372 | 4.59% | 3.33% |
| 5 | Apple Inc | COM | $5,923,852 | 23,342 | 3.99% | 2.89% |
| 6 | Microsoft Corp | COM | $5,639,073 | 15,234 | 3.79% | 2.75% |
| 7 | Fidelity Covington Trust | ENHANCED HIGH YI | $5,388,344 | 111,008 | 3.63% | 2.63% |
| 8 | Walmart Inc | COM | $4,910,088 | 39,508 | 3.3% | 2.4% |
| 9 | Alphabet Inc | CAP STK CL C | $4,895,162 | 17,065 | 3.29% | 2.39% |
| 10 | Jpmorgan Chase & Co | COM | $4,582,962 | 15,580 | 3.08% | 2.24% |
| 11 | Berkshire Hathaway Inc Del | CL B NEW | $3,610,029 | 7,533 | 2.43% | 1.76% |
| 12 | Ishares Tr | 0-5YR HI YL CP | $3,248,562 | 76,780 | 2.19% | 1.58% |
| 13 | Nextera Energy Inc | COM | $3,218,275 | 34,650 | 2.17% | 1.57% |
| 14 | Nvidia Corporation | COM | $3,078,272 | 17,651 | 2.07% | 1.5% |
| 15 | Lockheed Martin Corp | COM | $3,059,223 | 5,062 | 2.06% | 1.49% |
| 16 | Pnc Finl Svcs Group Inc | COM | $2,887,671 | 13,877 | 1.94% | 1.41% |
| 17 | Ishares Tr | CORE DIV GRWTH | $2,815,451 | 40,118 | 1.89% | 1.37% |
| 18 | Ishares Tr | CORE S&P500 ETF | $2,810,242 | 4,302 | 1.89% | 1.37% |
| 19 | Home Depot Inc | COM | $2,664,726 | 8,102 | 1.79% | 1.3% |
| 20 | Invesco Qqq Tr | UNIT SER 1 | $2,497,267 | 4,327 | 1.68% | 1.22% |
| 21 | Cisco Sys Inc | COM | $2,494,865 | 32,154 | 1.68% | 1.22% |
| 22 | Oracle Corp | COM | $2,445,446 | 16,623 | 1.65% | 1.19% |
| 23 | Merck & Co Inc | COM | $2,421,855 | 20,133 | 1.63% | 1.18% |
| 24 | Phillips 66 | COM | $2,373,762 | 13,030 | 1.6% | 1.16% |
| 25 | Ishares Tr | CORE S&P SCP ETF | $2,370,695 | 19,071 | 1.6% | 1.16% |
Top 25 of 72 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 125 | $46.2M | 22.5% |
| High net worth individuals | 47 | $134M | 65.3% |
| Pension and profit sharing plans | 10 | $15.5M | 7.55% |
| Corporations and other businesses | Fewer than 5 clients | $9.4M | 4.6% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Thomas P Flavin | President | CFP Personal Financial Specialist | Dec 2000 (26y) | 25% – 50% |
| Barbara Ann Nooney | Vice President | CFP Personal Financial Specialist | May 2015 (11y) | 25% – 50% |
| Matthew Aaron Treskovich | Vice President And Chief Compliance Officer | CFP | Aug 2022 (4y) | 25% – 50% |
| Tyler Lynn Heckman | Registered representative | CFP | May 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 02/13/2026 | 1.3 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE OFFICE FOUND THAT THE FIRM HAD NOT TIMELY FILED FINANCIAL STATEMENTS UNDER RULE 69W-600.015 FOR YEARS 2009, 2010, AND 2011. DELINQUENT FILINGS WERE SUBSEQUENTLY REMEDIED. Status: Final Sanction Detail: THOMAS FLAVIN FILED DELINQUENT STATEMENTS AND PAID FINE Summary: THE OFFICE FOUND THAT THE FIRM HAD NOT TIMELY FILED FINANCIAL STATEMENTS UNDER RULE 69W-600.015 FOR YEARS 2009, 2010, AND 2011. DELINQUENT FILINGS WERE SUBSEQUENTLY REMEDIED.
Allegations: INVESTMENT ADVISER, THOMAS FLAVIN, HAVING BEEN CONTINUOUSLY REGISTERED IN THE STATE OF FLORIDA SINCE 2000, BECAME DEFICIENT IN 2009 DUE TO AN UNFILED FINRA APPLICATION. THIS DEFICIENCY WAS CORRECTED IN 2015. Status: Final Sanction Detail: THOMAS FLAVIN PAID FINE AND WAS GRANTED REGISTRATION APPROVAL Summary: INVESTMENT ADVISER, THOMAS FLAVIN, HAVING BEEN CONTINUOUSLY REGISTERED IN THE STATE OF FLORIDA SINCE 2000, BECAME DEFICIENT IN 2009 DUE TO AN UNFILED FINRA APPLICATION. THIS DEFICIENCY WAS CORRECTED IN 2015.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • THIRD PARTY MONEY MANAGER
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $119M (58% of AUM) Feb 2026
- Charles Schwab & Co. $73.4M (36% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Feb 13, 2026.
View current Form ADV (SEC/IAPD) ↗