FRANCIS INVESTMENT COUNSEL LLC
FRANCIS LLC Legal Name
Adviser information for FRANCIS INVESTMENT COUNSEL LLC last updated from Form ADV on March 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 22 |
|---|---|
| Investment Advisory/Research | 18 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 17 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 84 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 88 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Pension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsCORPORATE FINANCIAL WELLNESS, PENSION PLAN PARTICIPANT ADVISORY/EDUCATION |
|---|---|
| Compensation | Hourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-62841 |
|---|---|
| SEC ERA File Number | 801-62841 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 130687 |
| Legal Entity Identifier | None |
Principal Office
19435 W. CAPITOL DRIVEBROOKFIELD
WI
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 866-232-6457, Fax: None
Chief Compliance Officer
MICHAEL J. FRANCIS
PRESIDENT
19435 W. CAPITOL DRIVE
BROOKFIELD
WI
United States
Tel:
866-232-6457
M**************@*************M
(Full email address available in API data)
Regulatory Contact
SUSAN L. SALMON
DIRECTOR OF OPERATIONS
19435 W. CAPITOL DRIVE
BROOKFIELD
WI
United States
Tel:
866-232-6457
S***********@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FRANCIS, MICHAEL, JOHN | Individual | – | MEMBER, CHIEF COMPLIANCE OFFICER | 02/2004 | 50-75% |
| SEND, KELLI, B | Individual | – | MEMBER | 02/2004 | 10-25% |
| DUNTEMAN, CLIFFORD, HENRY | Individual | – | MEMBER | 08/2008 | 5-10% |