Claris Financial, Llc
- Regulatory AUM
- $330M
- Discretionary
- $306M
- Clients
- 599
- Avg AUM / client
- $551K
- Accounts
- 1,038
- Employees
- 8
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 30, 2026
Investments (13F portfolio — 177 positions, $182,781,431)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | First Trust Value Dividend Index Etf | UIT EXCHANGE TRADED | $11,785,288 | 250,591 | 6.45% | 3.57% |
| 2 | Vanguard Growth Etf | UIT EXCHANGE TRADED | $9,429,366 | 21,588 | 5.16% | 2.86% |
| 3 | Apple Inc | COMMON STOCK | $8,556,164 | 33,714 | 4.68% | 2.59% |
| 4 | Ishares Msci Usa Momntumfct Etf | UIT EXCHANGE TRADED | $8,408,958 | 35,039 | 4.6% | 2.55% |
| 5 | Nvidia Corp | COMMON STOCK | $6,160,885 | 35,326 | 3.37% | 1.87% |
| 6 | Vanguard Value Etf | UIT EXCHANGE TRADED | $5,608,843 | 28,587 | 3.07% | 1.7% |
| 7 | First Trust Capital Strength Etf | UIT EXCHANGE TRADED | $5,419,472 | 58,425 | 2.97% | 1.64% |
| 8 | Microsoft Corp | COMMON STOCK | $4,850,858 | 13,104 | 2.65% | 1.47% |
| 9 | Ft Rising Dividend Achievers Etf | UIT EXCHANGE TRADED | $4,113,601 | 60,246 | 2.25% | 1.25% |
| 10 | Frst Trt Low Dtn Opnts Etf Iv | UIT EXCHANGE TRADED | $3,713,016 | 74,544 | 2.03% | 1.12% |
| 11 | First Trst Enhncd Shrt Mrty Etf Iv | UIT EXCHANGE TRADED | $3,400,697 | 56,887 | 1.86% | 1.03% |
| 12 | State Street Spdr S&P 500 Etf Trust | UIT EXCHANGE TRADED | $3,350,096 | 5,151 | 1.83% | 1.01% |
| 13 | Jpmorgan Chase & Co | COMMON STOCK | $2,683,100 | 9,121 | 1.47% | 0.81% |
| 14 | Amazon.Com Inc | COMMON STOCK | $2,376,569 | 11,411 | 1.3% | 0.72% |
| 15 | Vanguard S&P 500 Etf | UIT EXCHANGE TRADED | $2,132,431 | 3,569 | 1.17% | 0.65% |
| 16 | Exxon Mobil Corp | COMMON STOCK | $1,897,837 | 11,186 | 1.04% | 0.57% |
| 17 | Johnson & Johnson | COMMON STOCK | $1,844,093 | 7,544 | 1.01% | 0.56% |
| 18 | Abbvie Inc | COMMON STOCK | $1,831,442 | 8,421 | 1.0% | 0.55% |
| 19 | Vanguard High Dividend Yield Etf | UIT EXCHANGE TRADED | $1,751,467 | 11,826 | 0.96% | 0.53% |
| 20 | Dimensnl Ultrashrt Fixedincm Etf | UIT EXCHANGE TRADED | $1,708,521 | 33,692 | 0.93% | 0.52% |
| 21 | Alphabet Inc Class Class A | COMMON STOCK | $1,693,669 | 5,890 | 0.93% | 0.51% |
| 22 | Vanguard Ftse Developed Markets Etf | UIT EXCHANGE TRADED | $1,666,969 | 26,014 | 0.91% | 0.5% |
| 23 | Ibm Corp | COMMON STOCK | $1,621,855 | 6,691 | 0.89% | 0.49% |
| 24 | The Coca Cola Co | COMMON STOCK | $1,611,065 | 21,184 | 0.88% | 0.49% |
| 25 | Vanguard Total Stock Market Etf | UIT EXCHANGE TRADED | $1,610,122 | 5,019 | 0.88% | 0.49% |
Top 25 of 177 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 438 | $76.8M | 23.3% |
| High net worth individuals | 161 | $248M | 75.2% |
| Charitable organizations | Fewer than 5 clients | $5.1M | 1.55% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Faulkner Paxton | President, Chief Compliance Officer | Jan 2009 (18y) | 50% – 75% | |
| Dennis, Patrick, Medard | Investor | Jun 2012 (14y) | 10% – 25% | |
| Hall, Brian, Robert | Investor And Consultant | Jun 2012 (14y) | 10% – 25% | |
| Deborah Edwards Tucker | Registered representative | CFP | Sep 2025 (1y) |
Undisclosed: 0% – 30% 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) | 03/30/2026 | 925 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
Services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $330M (100% of AUM) Mar 2026
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 30, 2026.
View current Form ADV (SEC/IAPD) ↗