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FRANCIS LLC

BROOKFIELD, WI · CRD 130687 · IAPD ↗ · francisway.com · 866-232-6457

$0Regulatory AUM
20Advisory reps
26Employees
98Clients
n/aPlanning clients
0Private funds
50States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

34
April 2026 — FRANCIS LLC notice-filed in AK, NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
40
April 2025 — FRANCIS LLC added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
40
April 2025 — FRANCIS LLC notice-filed in CT, DE, KY, LA, MA, MD, ME, MT, NE, NM, NV, RI, SC, VT, WV, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
40
April 2024 — FRANCIS LLC added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
April 2024 — FRANCIS INVESTMENT COUNSEL LLC is now doing business as FRANCIS LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM

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