Hedge Fund Database

FRANCIS FINANCIAL

FRANCIS FINANCIAL, INC. Legal Name

Adviser information for FRANCIS FINANCIAL last updated from Form ADV on March 27th, 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 Other (specify)
Fiscal Year End DECEMBER
Legal Location New York, United States

Employees

Total Number of Employees 12
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 758 $453.6M
Non-Discretionary 126 $56.2M
Total 884 $509.7M

Clients

Type Number RAUM
Individuals 30 $16.5M
HNW Individuals 179 $493.2M
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 0 $0
Charitable organizations 0 $0
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 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 25
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 11-25

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops
Compensation % of AUMHourly chargesREFERRAL FEES

Identifiers

SEC RIA File Number 801-76703
SEC ERA File Number 801-76703
SEC CIK Numbers 1727514
SEC CRD Numbers 128067
Legal Entity Identifier None

Principal Office

39 BROADWAY
SUITE 1730
NEW YORK
NY
United States
Monday - Friday, MON-FRI 9 AM-6 PM
Tel: 212-374-9008, Fax: 646-219-6799

Websites

www.francisfinancial.com www.facebook.com/francisfinancialinc twitter.com/francisfinance www.linkedin.com/company/francis-financial-inc/

Chief Compliance Officer

STACY FRANCIS
PRESIDENT
39 BROADWAY
SUITE 1730
NEW YORK
NY
United States
Tel: 212-374-9008
(Full email address available in API data)

Regulatory Contact

AVANI RAMNANI
DIRECTOR-FINANCIAL PLANNING AND WEALTH MANAGEMENT
39 BROADWAY
SUITE 1730
NEW YORK
NY
United States
Tel: 212-374-9008
(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, STACY, A Individual – PRESIDENT/CHIEF COMPLIANCE OFFICER 07/2003 > 75%

No. Employees, Historic

2010020202021202220232024202512 on 2/21/202012 on 5/6/202011 on 3/26/202111 on 3/25/202211 on 5/4/202213 on 3/31/202312 on 3/27/2024

RAUM, Historic

600M300M0202020212022202320242025306585311 on 2/21/2020306585311 on 5/6/2020381095466 on 3/26/2021465838571 on 3/25/2022465838571 on 5/4/2022419383924 on 3/31/2023509718437 on 3/27/2024

No. Clients, Historic

3001500202020212022202320242025118 on 2/21/2020118 on 5/6/2020166 on 3/26/2021192 on 3/25/2022192 on 5/4/2022204 on 3/31/2023209 on 3/27/2024

Holdings

From latest 13F, filed July 12th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALPHABET INC CAP STK CL A 2M 11K –
ALPHABET INC CAP STK CL C 782K 4K –
AMAZON COM INC COM 2M 10K –
AMAZON COM INC COM 444K – –
APPLE INC COM 4M 17K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 942K 2K –
BROADCOM INC COM 315K 196 –
CAPITAL GROUP DIVIDEND VALUE SHS CREATION UNI 313K 9K –
CAPITAL GROUP GBL GROWTH EQT SHS CREATION UNI 309K 11K –
CORNING INC COM 880K 23K –
DIMENSIONAL ETF TRUST EMERGING MARKETS 4M 112K –
DIMENSIONAL ETF TRUST INTERNATIONAL 17M 513K –
DIMENSIONAL ETF TRUST INTL CORE EQT MK 677K 23K –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 636K 20K –
DIMENSIONAL ETF TRUST US EQUITY ETF 494K 8K –
DIMENSIONAL ETF TRUST US LARGE CAP VAL 6M 213K –
DIMENSIONAL ETF TRUST US MKTWIDE VALUE 2M 57K –
DIMENSIONAL ETF TRUST US SMALL CAP ETF 338K 6K –
DIMENSIONAL ETF TRUST WORLD EX US CORE 832K 33K –
DISNEY WALT CO COM 230K 2K –
ELI LILLY & CO COM 479K 529 –
FIRST TR EXCH TRADED FD III SHRT DUR MNG MUN 1M 55K –
GOLDMAN SACHS GROUP INC COM 318K 702 –
HOME DEPOT INC COM 340K 989 –
INTERNATIONAL BUSINESS MACHS COM 441K 3K –
INVESCO EXCH TRADED FD TR II NATL AMT MUNI 771K 33K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 1M 8K –
INVESCO QQQ TR UNIT SER 1 344K 718 –
ISHARES TR CORE DIV GRWTH 359K 6K –
ISHARES TR CORE S&P MCP ETF 215K 4K –
ISHARES TR CORE S&P SCP ETF 13M 119K –
ISHARES TR CORE S&P500 ETF 2M 4K –
ISHARES TR CORE TOTAL USD 241K 5K –
ISHARES TR ESG ADV INVT GRA 5M 56K –
ISHARES TR ESG AWARE MSCI 2M 55K –
ISHARES TR ESG AWRE 1 5 YR 9M 365K –
ISHARES TR ESG SCRD S&P MID 2M 47K –
ISHARES TR MSCI KLD400 SOC 13M 122K –
ISHARES TR NATIONAL MUN ETF 1M 12K –
ISHARES TR NEW YORK MUN ETF 5M 99K –
ISHARES TR RUS 1000 GRW ETF 550K 2K –
ISHARES TR RUSSELL 2000 ETF 773K 4K –
ISHARES TR RUSSELL 3000 ETF 635K 2K –
ISHARES TR S&P 500 GRWT ETF 484K 5K –
ISHARES TR S&P 500 VAL ETF 311K 2K –
ISHARES TR SELECT DIVID ETF 203K 2K –
ISHARES TR USD GRN BOND ETF 15M 326K –
JPMORGAN CHASE & CO. COM 494K 2K –
MCDONALDS CORP COM 280K 1K –
META PLATFORMS INC CL A 31M 62K –
META PLATFORMS INC CL A 504K – –
MICROSOFT CORP COM 2M 5K –
MICROSOFT CORP COM 268K – –
NUSHARES ETF TR NUVEEN ESG LRGCP 6M 78K –
NVIDIA CORPORATION COM 1M 11K –
PNC FINL SVCS GROUP INC COM 377K 2K –
PROCTER AND GAMBLE CO COM 228K 1K –
SCHLUMBERGER LTD COM STK 360K 8K –
SCHWAB STRATEGIC TR FUNDAMENTAL INTL 583K 17K –
SCHWAB STRATEGIC TR FUNDAMENTAL US L 548K 8K –
SCHWAB STRATEGIC TR INTL EQTY ETF 511K 13K –
SCHWAB STRATEGIC TR US LRG CAP ETF 327K 5K –
SPDR DOW JONES INDL AVERAGE UT SER 1 333K 851 –
SPDR S&P 500 ETF TR TR UNIT 1M 2K –
TESLA INC COM 216K 1K –
UNITEDHEALTH GROUP INC COM 299K 588 –
VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 7M 72K –
VANGUARD BD INDEX FDS INTERMED TERM 32M 433K –
VANGUARD INDEX FDS GROWTH ETF 19M 50K –
VANGUARD INDEX FDS LARGE CAP ETF 221K 884 –
VANGUARD INDEX FDS MID CAP ETF 518K 2K –
VANGUARD INDEX FDS S&P 500 ETF SHS 67M 135K –
VANGUARD INDEX FDS SMALL CP ETF 609K 3K –
VANGUARD INDEX FDS TOTAL STK MKT 3M 10K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 2M 47K –
VANGUARD SCOTTSDALE FDS LG-TERM COR BD 13M 173K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 284K 2K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 531K 11K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 17M 144K –
VANGUARD WORLD FD INF TECH ETF 416K 722 –
VISA INC COM CL A 227K 865 –