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FRANCIS FINANCIAL
Legal name: FRANCIS FINANCIAL, INC.
CRD 128067File 801-76703
APPROVED
Retail clients
Filing as of Mar 10, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$803.2M
Above cohort median (national)
Discretionary AUM
$741.3M
Non-discretionary $62.0M
Clients
256
1,048 accounts
Employees
14
Below cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Other (specify)
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jun 7, 2012
- Principal office
- 39 BROADWAY, SUITE 1730, NEW YORK, NY, 10006
- Phone
- 212-374-9008
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $803.2M
- Discretionary AUM
- $741.3M
- Non-discretionary AUM
- $62.0M
- Discretionary accounts
- 949
- Non-discretionary accounts
- 99
- Total accounts
- 1,048
- AUM per client
- $3.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 199 | $770.4M |
| Individuals (other than high net worth individuals) | 57 | $32.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 13 | 14 | increased by1 |
| Apr 1, 2026 | Clients | 238 | 256 | increased by18 |
| Apr 1, 2026 | AUM | $680,293,776 | $803,235,775 | increased by$122,941,999 |
| Apr 1, 2026 | Accounts | 1,014 | 1,048 | increased by34 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 11 | 13 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 192 | 238 | increased by46 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $465,838,571 | $680,293,776 | increased by$214,455,205 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 823 | 1,014 | increased by191 |
| Apr 1, 2022 | Clients | 166 | 192 | increased by26 |
| Apr 1, 2022 | AUM | $381,095,466 | $465,838,571 | increased by$84,743,105 |
| Apr 1, 2022 | Accounts | 763 | 823 | increased by60 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “FRANCIS FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“FRANCIS FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.