SourcingSourcing

FRANCIS LLC

C32
CRD 130687·SEC 801-62841·BROOKFIELD, WI
AUM
$0
<$25M
Est. Revenue
$0
@ 1% on AUM
Est. EBITDA
$0
@ 30% margin
Est. Deal Value
$0
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
FRANCIS LLC
CRD
130687
SEC file #
801-62841
EIN
—
DBA names
—

Economics

AUM
$0
AUM band
<$25M
AUM trajectory
'20'23
$143.8M → $176.8M▲ +23%
Client mix
Pension Profit Sharing Plans80
Corporations17

Operations

Employees (total)
26
Advisory staff (per ADV)
20
Advisory staff (5-yr trend)
'20'26
15 advisors → 20 advisors▲ +33%
Primary office
BROOKFIELD WI
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Pension consultingSelection of other advisersEducational Seminars WorkshopsOther Advisory Services
Fee basis
Hourly chargesFixed fees

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
francisway.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
FRANCIS HOLDINGS, INC.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
2
Control Persons
FRANCIS HOLDINGS, INC.
FRANCIS, MICHAEL, JOHN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
FRANCISWAY.COM
Rdap Domain Creation Date
2022-09-20T18:30:03Z
Rdap Firm Age Years
4
Rdap Firm Age Band
<5y
Rdap Registrar
NameCheap, Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
28
Form 5500 Total Compensation
1,982,407
Form 5500 Compensation Trajectory 3y
20251,982,407
Form 5500 Plan Count Trajectory 3y
202528
Schedule C Total Compensation
1,982,407
Schedule C Service Provider Rows
28

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
4
Bc Firm Active IA Count
21
Bc Firm IAR Count
21
Custodian Candidates
Full
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-09-20T18:30:03Z
Rdap Domain Last Changed
2025-08-21T07:20:23Z
Rdap Nameservers
Dns1.registrar-servers.comDns2.registrar-servers.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (17)

17
FRANCIS, MICHAEL, JOHN
IAR · Executive Officer · 2.5%
1310170
Pedro G Dominguez
IAR
7676973
Elizabeth Marie Aidoo
IAR
6834039
DAVID RYAN MANDEL
IAR
4980051
TIMOTHY MICHAEL SHIRK
IAR
6421306
CLIFFORD HENRY DUNTEMAN
IAR
2077855
JOSEPH JOHN TOPP
IAR
4200754
Macy Marie Fallico
IAR
7692202
JAYSON ANDREW VOIGT
IAR
3010958
Peter Joseph Castro
IAR
6846937
Blake Matthew Thomas
IAR
7959755
Michael N Hartfield
IAR
8157427
KELLI B SEND
IAR
1738572
KEVIN DENNIS SKOW
IAR
3179723
Jonathan N Nolan
IAR
6761850
MATTHEW M VANDRE
IAR
5810836
Hunter, Wesley, David
IAR
4236467