Hedge Fund Database

THE FINANCIAL ADVISORS, LLC

Adviser information for THE FINANCIAL ADVISORS, LLC last updated from Form ADV on March 8th, 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 Massachusetts, United States

Employees

Total Number of Employees 13
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 7
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,181 $970.4M
Non-Discretionary 4 $10.7M
Total 2,185 $981.1M

Clients

Type Number RAUM
Individuals 423 $207.5M
HNW Individuals 305 $764.1M
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 <5 $8.6M
Charitable organizations <5 $660,325
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses <5 $288,173
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesASSET ALLOCATION AND NON-DISCRETIONARY MANAGER SELECTION
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 956.9M
Portfolio Manager to Program Sponsor
TFA WEALTH MANAGEMENT THE FINANCIAL ADVISORS, LLC
TFA WEALTH MANAGEMENT (LEVEL FEE) THE FINANCIAL ADVISORS, LLC

Identifiers

SEC RIA File Number 801-68921
SEC ERA File Number 801-68921
SEC CIK Numbers 1766909
SEC CRD Numbers 146680
Legal Entity Identifier None

Principal Office

26 ESSEX STREET
ANDOVER
MA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 978-475-3242, Fax: 888-974-0397

Websites

www.tfa.bz www.the-financial-advisors.com www.linkedin.com/company/the-financial-advisors-llc/

Chief Compliance Officer

ROBERT C. MILLER
FINANCIAL ADVISOR
40R MERRIMAC STREET
SUITE 101W
NEWBURYPORT
MA
United States
Tel: 978-463-6660
Fax: 888-974-0397
(Full email address available in API data)

Regulatory Contact

JANET CHOQUETTE
ENROLLED AGENT
26 ESSEX STREET
ANDOVER
MA
United States
Tel: 978-475-3242
Fax: 888-974-0397
(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
MILLER, ROBERT, CONOVER Individual – MEMBER, CHIEF COMPLIANCE OFFICER, FINANCIAL ADVISOR 01/2008 25-50%
KUMPH, MICHAEL, PAULL Individual – MANAGING MEMBER AND FINANCIAL ADVISOR 01/2008 25-50%
DEMPSEY, MICHAEL, ANTHONY Individual – MEMBER AND FINANCIAL ADVISOR 01/2012 5-10%
LARINA, ANNA, V Individual – MEMBER AND OFFICE ADMINISTRATOR 01/2012 5-10%
BONASERA, LOUIS, CARL Individual – MEMBER AND FINANCIAL ADVISOR 01/2008 5-10%
BRAND, DIANNE Individual – MEMBER AND FINANCIAL ADVISOR 01/2019 < 5%
CHOQUETTE, JANET Individual – MEMBER AND TAX ACCOUNTANT 01/2023 < 5%
CORMIER, NGOC, NGUYEN Individual – MEMBER AND OFFICE ADMINISTRATOR 01/2012 < 5%
WOODHOUSE, SUSAN, IRENE Individual – MEMBER AND OFFICE ADMINISTRATOR 01/2008 < 5%
DESLAURIERS, LUCAS Individual – MEMBER AND FINANCIAL ADVISOR 01/2023 < 5%

No. Employees, Historic

2010020202021202220232024202514 on 3/30/202014 on 6/24/202013 on 3/3/202113 on 4/20/202114 on 10/4/202113 on 3/30/202214 on 7/13/202214 on 8/11/202214 on 8/17/202214 on 8/17/202214 on 9/29/202214 on 9/29/202214 on 9/29/202214 on 9/29/202213 on 3/14/202313 on 4/27/202313 on 6/13/202313 on 9/6/202313 on 10/16/202313 on 3/8/2024

RAUM, Historic

1B500M0202020212022202320242025731736469 on 3/30/2020731736469 on 6/24/2020819737494 on 3/3/2021819737494 on 4/20/2021819737494 on 10/4/2021974763481 on 3/30/2022974763481 on 7/13/2022974763481 on 8/11/2022974763481 on 8/17/2022974763481 on 8/17/2022974763481 on 9/29/2022974763481 on 9/29/2022974763481 on 9/29/2022974763481 on 9/29/2022849960160 on 3/14/2023849960160 on 4/27/2023849960160 on 6/13/2023849960160 on 9/6/2023849960160 on 10/16/2023981135403 on 3/8/2024

No. Clients, Historic

8004000202020212022202320242025736 on 3/30/2020736 on 6/24/2020733 on 3/3/2021733 on 4/20/2021733 on 10/4/2021752 on 3/30/2022752 on 7/13/2022752 on 8/11/2022752 on 8/17/2022752 on 8/17/2022752 on 9/29/2022752 on 9/29/2022752 on 9/29/2022752 on 9/29/2022749 on 3/14/2023749 on 4/27/2023749 on 6/13/2023749 on 9/6/2023749 on 10/16/2023728 on 3/8/2024

Holdings

From latest 13F, filed July 15th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 426K 4K –
ABBVIE INC COM 763K 4K –
ALPHABET INC CAP STK CL A 1M 7K –
ALPHABET INC CAP STK CL C 4M 23K –
AMAZON COM INC COM 2M 10K –
AMERICAN EXPRESS CO COM 333K 1K –
AMGEN INC COM 389K 1K –
ANALOG DEVICES INC COM 286K 1K –
APPLE INC COM 5M 25K –
AT&T INC COM 334K 17K –
AUTOMATIC DATA PROCESSING IN COM 517K 2K –
BANK AMERICA CORP COM 321K 8K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 578K 1K –
BROADCOM INC COM 255K 159 –
CATERPILLAR INC COM 376K 1K –
CHEVRON CORP NEW COM 356K 2K –
CHUBB LIMITED COM 260K 1K –
CISCO SYS INC COM 225K 5K –
COCA COLA CO COM 248K 4K –
COLGATE PALMOLIVE CO COM 479K 5K –
CSX CORP COM 378K 11K –
DISNEY WALT CO COM 207K 2K –
EASTGROUP PPTYS INC COM 251K 1K –
EXXON MOBIL CORP COM 2M 21K –
GE AEROSPACE COM NEW 255K 2K –
HOME DEPOT INC COM 665K 2K –
INNOVATIVE SOLUTIONS & SUPPO COM 60K 10K –
INTEL CORP COM 569K 18K –
INTERNATIONAL BUSINESS MACHS COM 343K 2K –
INVESCO QQQ TR UNIT SER 1 986K 2K –
ISHARES INC MSCI GBL MIN VOL 1M 14K –
ISHARES TR ESG MSCI USA MIN 681K 26K –
ISHARES TR ESG AWR MSCI USA 7M 62K –
ISHARES TR RUS 1000 VAL ETF 1M 7K –
ISHARES TR ESG AWARE MSCI 3M 67K –
ISHARES TR RUS 1000 GRW ETF 6M 17K –
ISHARES TR RUSSELL 2000 ETF 1M 7K –
ISHARES TR MSCI EAFE ETF 236K 3K –
ISHARES TR CORE S&P500 ETF 1M 3K –
ISHARES TR MSCI ACWI EX US 468K 9K –
ISHARES TR ESG AW MSCI EAFE 2M 31K –
ISHARES TR CORE S&P SCP ETF 52M 489K –
ISHARES TR ESG MSCI USA ETF 747K 16K –
ISHARES TR ISHARES BIOTECH 239K 2K –
ISHARES TR MSCI USA SMCP MN 219K 6K –
ISHARES TR MSCI ACWI EXUS 55M 2M –
ISHARES TR MSCI USA MIN VOL 92M 1M –
ISHARES TR MSCI USA QLT FCT 58M 339K –
ISHARES TR HDG MSCI EAFE 3M 78K –
JOHNSON & JOHNSON COM 1M 7K –
JPMORGAN CHASE & CO. COM 2M 12K –
LAM RESEARCH CORP COM 692K 650 –
LOWES COS INC COM 504K 2K –
MCDONALDS CORP COM 431K 2K –
MICROSOFT CORP COM 7M 15K –
MORGAN STANLEY COM NEW 532K 5K –
NEXTERA ENERGY INC COM 204K 3K –
NVIDIA CORPORATION COM 333K 3K –
PARKER-HANNIFIN CORP COM 428K 847 –
PEPSICO INC COM 355K 2K –
PROCTER AND GAMBLE CO COM 993K 6K –
RTX CORPORATION COM 562K 6K –
SCHWAB STRATEGIC TR US SML CAP ETF 1M 31K –
SCHWAB STRATEGIC TR US LRG CAP ETF 5M 73K –
SCHWAB STRATEGIC TR US LCAP GR ETF 86M 848K –
SCHWAB STRATEGIC TR US LCAP VA ETF 67M 899K –
STATE STR CORP COM 209K 3K –
STRYKER CORPORATION COM 578K 2K –
UNION PAC CORP COM 517K 2K –
VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 306K 3K –
VANGUARD INDEX FDS S&P 500 ETF SHS 579K 1K –
VANGUARD WORLD FD INF TECH ETF 346K 600 –
VERIZON COMMUNICATIONS INC COM 709K 17K –
WALMART INC COM 266K 4K –