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FRANCIS FINANCIAL

NEW YORK, NY · CRD 128067 · IAPD ↗ · francisfinancial.com · 212-374-9008

$803.2MRegulatory AUM
7Advisory reps
14Employees
22Clients
11-25Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2025 — FRANCIS FINANCIAL notice-filed in NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
April 2025 — FRANCIS FINANCIAL reported RAUM up 33% ($509.7M -> $680.3M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
45
April 2024 — FRANCIS FINANCIAL notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2024 — FRANCIS FINANCIAL crossed $500M in regulatory AUM ($419.4M -> $509.7M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.