SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Francis Financial
New York, NY
Francis Financial, Inc., CRD 128067
Firm filing updated March 10, 2026 ·
- $803.2MAssets
- 256Clients
- 7Advisory staff
- 1,048Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals199
- Individuals57
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 57 | $32.8 million |
| High net worth individuals | 199 | $770.4 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
See all 5 services
- Publication of periodicals or newsletters
- Educational seminars/workshops
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
Assets and accounts
- Regulatory assets$803.2 million
- Accounts1,048
- Discretionary$741.3 million · 949 accounts
- Non-discretionary$62.0 million · 99 accounts
People
- Employees14
- Advisory staff7
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients11 to 25
Advisors
7 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Francis Financial, Inc. SEC-registered investment advisor. CRD 128067, SEC file 801-76703.
- Registered with the SEC as an investment advisor (status date on record: June 7, 2012).
Is Francis Financial a fiduciary?
Short answer: Francis Financial is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.