Data / Investment advisers / Michigan / B.A. Roberts Financial Services, Inc.
B.A. Roberts Financial Services, Inc., Marquette, MI: $374 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
B.A. Roberts Financial Services, Inc. is an SEC registered investment adviser with its main office in Marquette, Michigan and reports $374 million in regulatory assets under management in its Form ADV filed March 25, 2026. Its clients include high net worth individuals, individuals and pension and profit sharing plans. It is paid through a percentage of assets under management, hourly charges and fixed fees.
The request: Watch B.A. Roberts Financial Services, Inc. (CRD number 289856): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 289856
- SEC file number
- 801-112254
- SEC status
- Approved, effective January 2, 2018
- Main office
- 989 West Washington Street Suite 101, Marquette, MI 49855
- Phone
- (906) 228-5564
- Website
- baroberts.com
- Regulatory AUM
- $373,879,035 in the Form ADV filed March 25, 2026
- Discretionary AUM
- $346,141,631
- Non discretionary AUM
- $27,737,404
- Accounts
- 1,583
- Employees
- 8, of which 3 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 25, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 134 | $276.1 million |
| Individuals (other than high net worth individuals) | 1,210 | $85.3 million |
| Pension and profit sharing plans | Fewer than 5 | $11.7 million |
| Charitable organizations | Fewer than 5 | $753,893 |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| March 2, 2026 | $373.9 million | February 9, 2026 |
| December 1, 2025 | $342.5 million | August 26, 2025 |
Other advisers in Michigan
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| DS Investment Advisors | Grand Rapids | $386.1 million | Not listed | adviserinfo.sec.gov |
| Sculati Wealth Management, LLC | Bloomfield Hills | $381.5 million | Not listed | adviserinfo.sec.gov |
| 626 Financial, LLC | Portage | $379.6 million | Not listed | adviserinfo.sec.gov |
| Darden Wealth Group | Ann Arbor | $379.6 million | Not listed | adviserinfo.sec.gov |
| Fairhaven Financial Advisory Corporation | East Lansing | $377.6 million | Not listed | adviserinfo.sec.gov |
| Richard W. Paul & Associates, LLC | Novi | $372.8 million | Not listed | adviserinfo.sec.gov |
| Lakeside Drive Management LLC | Birmingham | $372.3 million | 16 | adviserinfo.sec.gov |
| Royal Oak Financial Advisors, LLC | Royal Oak | $366.1 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Michigan
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- B.A. Roberts Financial Services, Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.