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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 Aug 17, 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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.