FRANCIS LLC
Latest filing: Mar 20, 2024 (246 days ago)
AUM
$0
0% change vs. 1 year ago
-100% change vs. 3 years ago
-100% change vs. 5 years ago
-100% change vs. 10 years ago
Employee Count
22
0% change vs. 1 year ago
10% change vs. 3 years ago
22% change vs. 5 years ago
57% change vs. 10 years ago
Main Office
BROOKFIELD, WI
19435 W. CAPITOL DRIVE, BROOKFIELD, WI, UNITED STATES, 53045
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.0 |
| Non-Discretionary | $0.0 |
| Total | $0.0 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 0% | $0.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Control Persons
Representatives
15 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| TIMOTHY SHIRK | BROOKFIELD | WI | S65|2006-06-06 | ||||||
| JOSEPH TOPP | BROOKFIELD | WI | S63|2000-08-08|S65|2000-08-21 | ||||||
| MACY FALLICO | BROOKFIELD | WI | S65|2023-02-24 | ||||||
| PEDRO DOMINGUEZ | BROOKFIELD | WI | S65|2023-03-09 | ||||||
| DAVID MANDEL | BROOKFIELD | WI | S63|2006-05-24|S65|2019-12-05 | ||||||
| KELLI SEND | BROOKFIELD | WI | S63|1993-09-23|S65|2001-05-29 | CERTIFIED FINANCIAL PLANNER | |||||
| PETER CASTRO | BROOKFIELD | WI | S65|2020-03-06 | ||||||
| CLIFFORD DUNTEMAN | BROOKFIELD | WI | S63|1993-06-17|S65|2008-05-07 | ||||||
| ERIC HENCLEY | BROOKFIELD | WI | S66|2017-08-08 | ||||||
| JAYSON VOIGT | BROOKFIELD | WI | S63|1998-05-13|S65|2006-06-19 | CERTIFIED FINANCIAL PLANNER | |||||
| MICHAEL FRANCIS | BROOKFIELD | WI | S63|1984-11-28|S65|1992-05-07 | ||||||
| MATTHEW VANDRE | BROOKFIELD | WI | S66|2010-10-12 | CHARTERED FINANCIAL CONSULTANT | |||||
| KEVIN ROLOFF | BROOKFIELD | WI | S65|2009-10-06 | ||||||
| KEVIN SKOW | BROOKFIELD | WI | S65|2023-03-14 | ||||||
| ELIZABETH AIDOO | BROOKFIELD | WI | S65|2017-08-30 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-11-01 | $0.0 | $0.0 | 0% | 22 | 0 | 0% |
| 2024-04-02 | $0.0 | $0.0 | 0% | 22 | 0 | 0% |
| 2023-04-04 | $0.0 | $0.0 | 0% | 22 | 0 | 0% |
| 2022-04-01 | $0.2 | -$0.2 | -100% | 18 | 4 | 22% |
| 2021-04-05 | $0.2 | -$0.2 | -100% | 20 | 2 | 10% |
| 2020-04-01 | $0.2 | -$0.2 | -100% | 18 | 4 | 22% |
| 2019-04-01 | $0.1 | -$0.1 | -100% | 18 | 4 | 22% |
| 2018-04-02 | $0.2 | -$0.2 | -100% | 16 | 6 | 38% |
| 2017-04-01 | $0.1 | -$0.1 | -100% | 15 | 7 | 47% |
| 2016-04-01 | $0.1 | -$0.1 | -100% | 16 | 6 | 38% |
| 2015-04-01 | $0.1 | -$0.1 | -100% | 14 | 8 | 57% |
| 2014-04-01 | $0.1 | -$0.1 | -100% | 14 | 8 | 57% |
| 2013-04-01 | $0.1 | -$0.1 | -100% | 15 | 7 | 47% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| WI, AL-03/23/2023, AR-03/23/2023, AZ-03/23/2023, CA-03/11/2021, CO-03/30/2022, FL-03/23/2023, GA-03/23/2023, HI-03/23/2023, IA-03/30/2022, ID-03/23/2023, IL-03/13/2018, IN-03/23/2023, KS-03/23/2023, MI-03/23/2023, MN-03/13/2018, MO-03/30/2022, MS-03/23/2023, NC-03/30/2022, ND-03/30/2022, NJ-03/23/2023, NY-03/23/2023, OH-03/23/2023, OK-03/11/2021, OR-03/23/2023, PA-03/23/2023, SD-03/30/2022, TN-03/23/2023, TX-03/23/2023, UT-03/23/2023, VA-03/11/2021, WA-03/23/2023, WI-02/27/2014 |
| ADVISER ACTIVITIES |
|
PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV