FLAHARTY ASSET MANAGEMENT, LLC

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Flaharty Asset Management is based out of Clearwater. Flaharty Asset Management is a large advisory firm with 1133 clients and discretionary assets under management (AUM) of $637,648,503 (Form ADV from 2021-04-30). Their last reported 13F filing for Q1 2021 included $433,290,000 in managed 13F securities and a top 10 holdings concentration of 48.52%. Flaharty Asset Management's largest holding is iShares Russell 1000 Growth ETF with shares held of 129,519. Flaharty Asset Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 19 13F filings

Download 13F Summary Create Alert

03/31/2021

13F Activity

  • Market Value $433.29 Million
  • Prior Market Value $400.558 Million
  • New Purchases14 stocks
  • Additional Purchases40 stocks
  • Sold out of4 stocks
  • Reduced holdings in36 stocks
  • Top 10 Holdings % 48.52 %
  • Turnover % [1]:16.07%
  • Turnover Alt % [2]: 2.63 %
  • Time Held Top20:10.50 quarters
  • Time Held Top10:7.50 quarters
  • Time Held All:7.25 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-02-16

Performance for Q4 2020: 10.95%
Performance Last 4 Quarters: 11.07%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

FLAHARTY ASSET MANAGEMENT, LLC
311 PARK PLACE BLVD. SUITE 150
CLEARWATER FL    33759
Country: United States

Business Phone: 727-252-1050
Fax: 727-474-3823
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: FL
Number of employees: 9
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 1133
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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FLAHARTY ASSET MANAGEMENT, LLC

ownership team - last updated 2021-03-24
Name Title Start Date Direct/Indirect % Ownership
FLAHARTY, SHON, EDWARD CEO, ELECTED MANAGER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01
FLAHARTY & ASSOCIATES, LLC OWNER, MEMBER 06/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
LION GLOBAL INVESTORS LIMITED OWNER indirect 1986-08-01
LION GLOBAL INVESTORS LIMITED OWNER direct 2005-08-01
LION GLOBAL INVESTORS LIMITED SHAREHOLDER direct 2005-08-01
FLAHARTY ASSET MANAGEMENT, LLC OWNER direct 2013-06-01
LWM ADVISORY SERVICES, LLC SHAREHOLDER indirect 2016-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2000-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2001-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2003-03-01
LION GLOBAL INVESTORS LIMITED OWNER direct 1986-08-01
LION GLOBAL INVESTORS LIMITED SHAREHOLDER direct 1986-08-01
FLAHARTY, SHON, EDWARD CCO 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01
ORR, JOHN, HUNTER CHIEF INVESTMENT OFFICER 01/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2014-01-01
FLAHARTY, SHON, EDWARD MANAGER AND MEMBER FLAHARTY & ASSOCIATES, LLC 07/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01

FLAHARTY ASSET MANAGEMENT, LLC

ownership team - last updated 2020-12-02
Name Title Start Date Direct/Indirect % Ownership
FLAHARTY, SHON, EDWARD CEO, ELECTED MANAGER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01
FLAHARTY & ASSOCIATES, LLC OWNER, MEMBER 06/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
LION GLOBAL INVESTORS LIMITED OWNER indirect 1986-08-01
LION GLOBAL INVESTORS LIMITED OWNER direct 2005-08-01
LION GLOBAL INVESTORS LIMITED SHAREHOLDER direct 2005-08-01
FLAHARTY ASSET MANAGEMENT, LLC OWNER direct 2013-06-01
LWM ADVISORY SERVICES, LLC SHAREHOLDER indirect 2016-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2000-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2001-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2003-03-01
LION GLOBAL INVESTORS LIMITED OWNER direct 1986-08-01
LION GLOBAL INVESTORS LIMITED SHAREHOLDER direct 1986-08-01
FLAHARTY, SHON, EDWARD CCO 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01
ORR, JOHN, HUNTER CHIEF INVESTMENT OFFICER 01/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2014-01-01
FLAHARTY, SHON, EDWARD MANAGER AND MEMBER FLAHARTY & ASSOCIATES, LLC 07/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01

FLAHARTY ASSET MANAGEMENT, LLC

ownership team - last updated 2020-06-29
Name Title Start Date Direct/Indirect % Ownership
FLAHARTY, SHON, EDWARD CEO, ELECTED MANAGER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01
FLAHARTY & ASSOCIATES, LLC OWNER, MEMBER 06/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
LION GLOBAL INVESTORS LIMITED OWNER indirect 1986-08-01
LION GLOBAL INVESTORS LIMITED OWNER direct 2005-08-01
LION GLOBAL INVESTORS LIMITED SHAREHOLDER direct 2005-08-01
FLAHARTY ASSET MANAGEMENT, LLC OWNER direct 2013-06-01
LWM ADVISORY SERVICES, LLC SHAREHOLDER indirect 2016-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2000-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2001-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2003-03-01
LION GLOBAL INVESTORS LIMITED OWNER direct 1986-08-01
LION GLOBAL INVESTORS LIMITED SHAREHOLDER direct 1986-08-01
FLAHARTY, SHON, EDWARD CCO 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01
ORR, JOHN, HUNTER CHIEF INVESTMENT OFFICER 01/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2014-01-01
FLAHARTY, SHON, EDWARD MANAGER AND MEMBER FLAHARTY & ASSOCIATES, LLC 07/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01

FLAHARTY ASSET MANAGEMENT, LLC

ownership team - last updated 2020-02-25
Name Title Start Date Direct/Indirect % Ownership

FLAHARTY ASSET MANAGEMENT, LLC

ownership team - last updated 2019-03-14
Name Title Start Date Direct/Indirect % Ownership
FLAHARTY, SHON, EDWARD CEO, ELECTED MANAGER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01
FLAHARTY & ASSOCIATES, LLC OWNER, MEMBER 06/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
LION GLOBAL INVESTORS LIMITED OWNER indirect 1986-08-01
LION GLOBAL INVESTORS LIMITED OWNER direct 2005-08-01
LION GLOBAL INVESTORS LIMITED SHAREHOLDER direct 2005-08-01
FLAHARTY ASSET MANAGEMENT, LLC OWNER direct 2013-06-01
LWM ADVISORY SERVICES, LLC SHAREHOLDER indirect 2016-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2000-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2001-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2003-03-01
LION GLOBAL INVESTORS LIMITED OWNER direct 1986-08-01
LION GLOBAL INVESTORS LIMITED SHAREHOLDER direct 1986-08-01
FLAHARTY, SHON, EDWARD CCO 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01
ORR, JOHN, HUNTER CHIEF INVESTMENT OFFICER 01/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2014-01-01
FLAHARTY, SHON, EDWARD MANAGER AND MEMBER FLAHARTY & ASSOCIATES, LLC 07/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01

FLAHARTY ASSET MANAGEMENT, LLC

ownership team - last updated 2018-04-18
Name Title Start Date Direct/Indirect % Ownership
FLAHARTY, SHON, EDWARD CEO, ELECTED MANAGER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01
FLAHARTY & ASSOCIATES, LLC OWNER, MEMBER 06/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
LION GLOBAL INVESTORS LIMITED OWNER indirect 1986-08-01
LION GLOBAL INVESTORS LIMITED OWNER direct 2005-08-01
LION GLOBAL INVESTORS LIMITED SHAREHOLDER direct 2005-08-01
FLAHARTY ASSET MANAGEMENT, LLC OWNER direct 2013-06-01
LWM ADVISORY SERVICES, LLC SHAREHOLDER indirect 2016-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2000-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2001-01-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2003-03-01
LION GLOBAL INVESTORS LIMITED OWNER direct 1986-08-01
LION GLOBAL INVESTORS LIMITED SHAREHOLDER direct 1986-08-01
FLAHARTY, SHON, EDWARD CCO 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01
ORR, JOHN, HUNTER CHIEF INVESTMENT OFFICER 01/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2014-01-01
FLAHARTY, SHON, EDWARD MANAGER AND MEMBER FLAHARTY & ASSOCIATES, LLC 07/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FLAHARTY ASSET MANAGEMENT, LLC MANAGER AND MEMBER indirect 2007-07-01
FLAHARTY ASSET MANAGEMENT, LLC CEO direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CEO & CHIEF COMPLIANCE OFFICER direct 2013-06-01
FLAHARTY ASSET MANAGEMENT, LLC CCO direct 2015-06-01

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