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B.A. ROBERTS FINANCIAL SERVICES, INC.

MARQUETTE, MI · CRD 289856 · IAPD ↗ · baroberts.com · (906) 228-5564

$373.9MRegulatory AUM
3Advisory reps
8Employees
0Clients
More than 500Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

43
March 2026 — B.A. ROBERTS FINANCIAL SERVICES, INC. filed an Item 4A succession naming ROBERTS FINANCIAL SERVICES, LLC (CRD 289856) — an entity change, not a deal.
Item 4A succession where the acquired firm is the same business (entity change, not a deal).
Integration & migration consultingCompliance
58
March 2026 — ROBERTS FINANCIAL SERVICES, LLC is now doing business as B.A. ROBERTS FINANCIAL SERVICES, INC..
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
48
December 2025 — ROBERTS FINANCIAL SERVICES, LLC reported RAUM down 46% ($630.4M -> $342.5M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
58
December 2025 — ERTS WEALTH ADVISORS, LLC is now doing business as ROBERTS FINANCIAL SERVICES, LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
53
August 2025 — ERTS WEALTH ADVISORS, LLC shrank from 6 to 3 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
70
February 2024 — ERTS WEALTH ADVISORS, LLC crossed $500M in regulatory AUM ($475.0M -> $566.8M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

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