← Directory
B.A. ROBERTS FINANCIAL SERVICES, INC.
CRD 289856File 801-112254
APPROVED
Retail clients
Custody
Filing as of Mar 25, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$373.9M
Below cohort median (national)
Discretionary AUM
$346.1M
Non-discretionary $27.7M
Clients
1,344
1,583 accounts
Employees
8
Above cohort median in MI
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jan 2, 2018
- Principal office
- 989 WEST WASHINGTON STREET, SUITE 101, MARQUETTE, MI, 49855
- Phone
- (906) 228-5564
- Website
- HTTP://BAROBERTS.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $373.9M
- Discretionary AUM
- $346.1M
- Non-discretionary AUM
- $27.7M
- Discretionary accounts
- 1,578
- Non-discretionary accounts
- 5
- Total accounts
- 1,583
- AUM per client
- $278K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $754K |
| High net worth individuals | 134 | $276.1M |
| Pension and profit sharing plans | Fewer than 5 | $11.7M |
| Individuals (other than high net worth individuals) | 1,210 | $85.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- 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 |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 644 | 1,344 | increased by700 |
| Mar 1, 2026 | AUM | $342,479,628 | $373,879,035 | increased by$31,399,407 |
| Mar 1, 2026 | Accounts | 1,532 | 1,583 | increased by51 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 14 | 8 | decreased by6 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 1,439 | 644 | decreased by795 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $630,429,577 | $342,479,628 | decreased by$287,949,949 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 2,390 | 1,532 | decreased by858 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 11 | 14 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,766 | 1,439 | decreased by327 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $510,000,000 | $630,429,577 | increased by$120,429,577 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,080 | 2,390 | increased by310 |
| Mar 1, 2022 | Clients | 1,556 | 1,766 | increased by210 |
| Mar 1, 2022 | AUM | $427,000,000 | $510,000,000 | increased by$83,000,000 |
| Mar 1, 2022 | Accounts | 2,012 | 2,080 | increased by68 |
| 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 “ROBERTS FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ROBERTS 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.