Francis Financial, Inc.
- Regulatory AUM
- $803M
- Discretionary
- $741M
- Clients
- 256
- Avg AUM / client
- $3.1M
- Accounts
- 1,048
- Employees
- 14
AUM over time
Annual snapshots from Form ADV filings · as of Mar 10, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 57 | $32.8M | 4.09% |
| High net worth individuals | 199 | $770M | 95.9% |
People (10)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stacy A Francis | President/Chief Compliance Officer | CFP | Jul 2003 (23y) | 75% or more |
| Alexandra M Shepis | Registered representative | CFP | Jul 2021 (5y) | |
| Avani Ramnani | Registered representative | CFP | Jul 2021 (5y) | |
| Natalie Colley | Registered representative | CFP | Jul 2021 (5y) | |
| Shweta Lawande | Registered representative | CFP | Jul 2021 (5y) | |
| Madison Mount | Registered representative | CFP | Jun 2022 (4y) | |
| Brenda Allen Sakon | Registered representative | CFP | Feb 2024 (2y) | |
| Matthew John Haertzen | Registered representative | CFP CFA | Apr 2026 (0y) | |
| Daniel Joseph Smith | Registered representative | CFP | Apr 2026 (0y) | |
| Michael A. Gawlik | Registered representative | CFA | Apr 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/10/2026 | 904 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $757M (94% of AUM) Mar 2026
- Pershing $71.8M (19% of AUM) Mar 2021
- Shareholders Service Group, Inc. $48.2M (11% of AUM) Mar 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 10, 2026.
View current Form ADV (SEC/IAPD) ↗