Michael Thomas Hartley
AIF®, CFP®Professional Summary
Michael Thomas Hartley, AIF®, CFP®, who also goes by Mike Hartley, is a registered financial advisor currently at DALE K. EHRHART, INC. located in Venice, Florida. Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Michael has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mike Hartley
Similar Advisors
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
Similar Advisors
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
Credentials
Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
Current Firm
ASSET CLASS STRATEGIES | DALE K. EHRHART, INC.
Contact Information
Main Address
100 W Venice Ave Suite G, Venice, FL 34285Phone Number
(941) 485-8220Established
Delaware since 10/30/1975Firm Type
CorporationFiscal Year End
December# of Employees
6SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTLEY, MICHAEL THOMAS | CEO | 1522614 |
| TRAMMELL, THOMAS BLAIR | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 1003389 |
| GETTE, MICKI RUTH | TREASURER FOP | 2229275 |
| HARTLEY, MICHAEL WARREN | VICE PRESIDENT - RESEARCH | 4828732 |
| KEYSER, ROBERT CALDWELL | VICE PRESIDENT - INSURANCE | 857271 |
| MOORE, JAMES HENRY | ASSISTANT VICE PRESIDENT | 4165738 |
| SANDERS, BYRON ANTHONY | PRESIDENT | 835737 |
| TRAMMELL, NANCY JEAN | SECRETARY | 2454656 |
Regulatory Assets Under Management
Total Number of Accounts
309AUM (Assets Under Management)
$648,772,602Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | Cover Page | Report |
| 08/26/2024 | Cover Page | Report |
| 07/21/2023 | Cover Page | Report |
Similar Advisors
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Similar Advisors
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
Primary Firm SEC Registration
ASSET CLASS STRATEGIES | DALE K. EHRHART, INC.
State Registrations and Notice Filings
(3/16/2026)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jun 1994About the Series 28 examSimilar Advisors
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Michael Thomas Hartley's CRS (Customer Relationship Summary).
Similar Advisors
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC