Vega Financial LLC

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Client assets under management

$59,507,369

Clients

121

23% high-net worth

Advisors

of 2 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Typical

Average account size

$491,796

About

Vega Financial serves individual and high-net-worth clients as well as corporate/business clients, providing discretionary and non‑discretionary portfolio management alongside project‑based and ongoing comprehensive financial planning. Its planning work includes retirement and estate planning, tax and risk management, employee‑benefits optimization, and business‑interest consulting.

The firm’s investment approach is grounded in Modern Portfolio Theory and primarily uses passive portfolio construction via funds to implement target asset allocations, while also drawing on fundamental, technical, cyclical, and charting analysis to inform tactical decisions. Portfolios are managed according to client‑specific investment policy statements and may include options strategies, such as covered calls, that are incorporated into the firm’s supervisory and review processes.

Noteworthy operational features include a very small adviser team serving a concentrated client base and quarterly account reviews, a stated policy of executing client trades on an individual (non‑blocked) basis, and an absence of soft‑dollar arrangements. The brochure also discloses reliance on institutional custodian support services that benefit the firm administratively, and it includes an advisor‑level historical bankruptcy‑related investment disclosure in its material changes.

Client services

Financial planning Portfolio management

Expertise

Retirement income strategy Business ownership considerations Cash flow / budgeting College savings (529s, UTMA, etc.) General estate planning guidance

Occupation focus

Founder/Business Owner

Fee options

Percentage

$0 - $500,000: 1.25% annually for ETFs, Stocks, Fixed Income $0 - $500,000: 1.50% annually for ETFs, Stocks, Fixed Income, Options $1,000,000+: 1.00% annually

Project-based

$400 per hour for Financial Planning services

Other

Account minimum: $750,000 (may be waived at the firm's discretion) Minimum fee: $300 per year minimum advisory fee for households with less than $500,000 in managed assets, billed monthly at $25 Fee-only: Financial Planning only clients billed at $400 per hour

Main office location

Vega Financial LLC

Mercer Island WA, United States

Number of offices

Most active in

Texas · Washington

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

Facebook X Instagram Website 206-883-8342

Advisors at this firm

Tyson F

Series 66

Mercer Island, WA

Vega Financial LLC

Tyson Farmer is a financial advisor at Vega Financial LLC with 19 years of industry experience. He holds a Series 66 designation and previously worked at Edward Jones for 10 years before joining Vega Financial in 2020. Vega Financial serves individual, high-net-worth, and corporate clients by providing discretionary and non-discretionary portfolio management along with comprehensive financial planning services. The firm’s investment approach is based on Modern Portfolio Theory, using primarily passive portfolio construction complemented by tactical analysis and options strategies tailored to client-specific investment policies.

Retirement income strategy Business ownership considerations Cash flow / budgeting College savings (529s, UTMA, etc.) General estate planning guidance Founder/Business Owner

Teresa F

Series 65

Plano, TX

Vega Financial LLC

Teresa Farmer Clemens is a financial advisor with Vega Financial LLC holding a Series 65 designation and three years of industry experience. She has a background in education, having worked for the Plano Independent School District and Texas Connections Academy. She also serves as a substitute teacher for Plano ISD on a limited basis. Vega Financial serves individual, high-net-worth, and corporate clients, offering portfolio management and comprehensive financial planning. The firm employs a primarily passive investment approach based on Modern Portfolio Theory, supplemented by tactical analysis and options strategies, with a small advisory team providing personalized service.

Retirement income strategy Business ownership considerations Cash flow / budgeting College savings (529s, UTMA, etc.) General estate planning guidance Founder/Business Owner

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