SourcingSourcing

FINANCIAL DIRECTIONS LLC

C50
CRD 108475·SEC 801-56919·TUCSON, AZ
AUM
$737.8M
$500M-$1B
Est. Revenue
$7.4M
@ 1% on AUM
Est. EBITDA
$2.2M
@ 30% margin
Est. Deal Value
$17.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
FINANCIAL DIRECTIONS LLC
CRD
108475
SEC file #
801-56919
EIN
—
DBA names
—

Economics

AUM
$737.8M
AUM band
$500M-$1B
AUM trajectory
'20'26
$393.4M → $737.8M▲ +88%
Client mix
Individuals Other2,332
Individuals High Net Worth156

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
7 advisors → 3 advisors▼ -57%
Primary office
TUCSON AZ
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/24/2026
ADV-W filed at
—
Website
financialdirectionsllc.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SPACKEEN, STANTON, WILLIAM
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
SPACKEEN, STANTON, WILLIAM
CHERBA, MARY, LEE
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
FINANCIALDIRECTIONSLLC.COM
Rdap Domain Creation Date
2004-10-20T17:35:43Z
Rdap Firm Age Years
22
Rdap Firm Age Band
20+y
Rdap Registrar
eNom, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Fidelity4
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-10-20T17:35:43Z
Rdap Domain Last Changed
2025-09-21T06:19:05Z
Rdap Nameservers
Darl.ns.cloudflare.comVal.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1398332
Trust Company Affiliate
No

People (3)

3
SPACKEEN, STANTON, WILLIAM
IAR · Direct Owner · 87.5%
1398332
CHERBA, MARY, LEE
IAR · Executive Officer · 2.5%
3129156
CHRISTOPHER MICHAEL HAMBACHER
IAR
4589318