Data / Investment advisers / New York / Francis Financial
Francis Financial, New York, NY: $803 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Francis Financial is an SEC registered investment adviser with its main office in New York, New York and reports $803 million in regulatory assets under management in its Form ADV filed March 10, 2026. Its clients include high net worth individuals and individuals. It is paid through a percentage of assets under management and hourly charges.
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- Registration
- SEC registered investment adviser
- CRD number
- 128067
- SEC file number
- 801-76703
- SEC status
- Approved, effective June 7, 2012
- Legal name
- Francis Financial, Inc.
- Main office
- 39 Broadway Suite 1730, New York, NY 10006
- Phone
- (212) 374-9008
- Website
- francisfinancial.com
- Regulatory AUM
- $803,235,775 in the Form ADV filed March 10, 2026
- Discretionary AUM
- $741,285,775
- Non discretionary AUM
- $61,950,000
- Accounts
- 1,048
- Employees
- 14, of which 7 give investment advice
- Form of organization
- S-Corp
- Paid through
- a percentage of assets under management, hourly charges
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 10, 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 | 199 | $770.4 million |
| Individuals (other than high net worth individuals) | 57 | $32.8 million |
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 |
|---|---|---|
| April 1, 2026 | $803.2 million | March 10, 2026 |
| December 1, 2025 | $680.3 million | May 23, 2025 |
Other advisers in New York
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| CCMP Growth, LP | New York | $818.5 million | 6 | adviserinfo.sec.gov |
| Jack Creek Partners LLC | New York | $809 million | Not listed | adviserinfo.sec.gov |
| RMWC | New York | $807.4 million | 6 | adviserinfo.sec.gov |
| Oha Private Credit Advisors II, L.P. | New York | $805.2 million | Not listed | adviserinfo.sec.gov |
| Net Return Asset Management LLC | New York | $803.3 million | 3 | adviserinfo.sec.gov |
| Hunters Moon Capital (US) LP | New York | $802.6 million | Not listed | adviserinfo.sec.gov |
| Kain Capital | New York | $801.6 million | 20 | adviserinfo.sec.gov |
| Fintech Collective Management LLC | New York | $800.8 million | 15 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New York, NY
- Investment advisers in New York
- Advisers with $500 million to $1 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Francis Financial 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.