Firm profile

Canty Financial Management, Inc..

BALLSTON SPA, NYCRD 118945Registration Status: ApprovedEffective since June 14, 2007SEC # 801-68026Latest ADV July 17, 2026

Canty Financial Management, Inc. is an SEC registered investment adviser organized as a corporation with a primary office location in Ballston Spa, NY. Its latest Form ADV filing, dated July 17, 2026, reports $254M in regulatory assets under management, 5 employees, 1 office, and 447 accounts.

Assets Under Management

$254M

Employees

Offices

1 office

Total Clients

475

Associated firm names

3 names listed

CANTY FINANCIAL MANAGEMENT, INC.
CFM INVESTMENT ADVISORS
CANTY WEALTH MANAGEMENT

Leadership

1 roles identified

CCOWilliam J. Canty

Advisory services offered

2 types reported

Financial Planning Services

Portfolio management for individuals and small businesses

Fee models offered

2 types reported

Asset based fees

Hourly charges

Offices & Contact

Primary office

BALLSTON SPA, New York, United States

Loading map…

Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

View locations

New York

BALLSTON SPAPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Phone518-885-3230 WebsiteVisit website

LinkedInNot found

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$254Mas of July 17, 2026

Discretionary94.1%

$239M

94% of total RAUM94.1%

Non-discretionary5.9%

$15M

6% of total RAUM5.9%

Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentIndividuals represent 52.2% of total clients.

Top client categories% of clientsClients

Individuals

52.2%

248

HNWI

41.1%

195

Pension Plans

6.3%

Charitable

0.4%

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$254M

Total Accounts447

10Y AUM Change+$178M (+236.3%)

Loading private fund disclosures…

Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees5

Clients per Employee95:1

10Y Employee Change0 (0.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%

WILLIAM JOSEPH CANTYDirect owner · Schedule AInterest in CANTY WEALTH MANAGEMENT

75%+

EDWARD JOSEPH CANTYDirect owner · Schedule AInterest in CANTY WEALTH MANAGEMENT

5% to < 10%

Joseph William CantyDirect owner · Schedule AInterest in CANTY WEALTH MANAGEMENT

5% to < 10%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Canty Financial Management, Inc...

No indirect ownership information reported in the source’s Schedule B.

Reported ownership and control details

Form ADV · Filing date 2026-07-17 · Schedules A and B

3 entries

#	Owner / person & role	Interest in entity	Reported interest	Control person	Title / status acquired	Source
1	WILLIAM JOSEPH CANTYCHIEF COMPLIANCE OFFICERIndividual	CANTY WEALTH MANAGEMENT	75% or moreCode E	Yes	CHIEF COMPLIANCE OFFICER01/2001	Schedule APDF page 19
2	EDWARD JOSEPH CANTYINVESTMENT ADVISOR REPRESENTATIVEIndividual	CANTY WEALTH MANAGEMENT	5% to less than 10%Code A	No	INVESTMENT ADVISOR REPRESENTATIVE12/2017	Schedule APDF page 19
3	Joseph William CantyINVESTMENT ADVISOR REPRESENTATIVEIndividual	CANTY WEALTH MANAGEMENT	5% to less than 10%Code A	No	INVESTMENT ADVISOR REPRESENTATIVE12/2019	Schedule APDF page 19

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 7/17/2026 3:20:27 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo

AFelonies2 No

In the past ten years, have you or any advisory affiliate:

A1Been convicted of or pleaded guilty or no contest to a felony?No
A2Been charged with a felony?No

BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
B2Been charged with a misdemeanor of the kind listed above?No

CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

C1Found you or an advisory affiliate made a false statement or omission?No
C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No

DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No

ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

E1Found you or an advisory affiliate made a false statement or omission?No
E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No

FProfessional authorizations1 No

FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No

GPending regulatory proceedings1 No

GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No

HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.