SourcingSourcing

CLARIS FINANCIAL, LLC

C37
CRD 168503·SEC 801-115295·GLEN ALLEN, VA
AUM
$330.2M
$100M-$500M
Est. Revenue
$3.3M
@ 1% on AUM
Est. EBITDA
$991K
@ 30% margin
Est. Deal Value
$7.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CLARIS FINANCIAL, LLC
CRD
168503
SEC file #
801-115295
EIN
010908384
DBA names
—

Economics

AUM
$330.2M
AUM band
$100M-$500M
AUM trajectory
'20'26
$105.4M → $330.2M▲ +213%
Client mix
Individuals Other438
Individuals High Net Worth161

Operations

Employees (total)
8
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'20'26
5 advisors → 5 advisors▬ 0%
Primary office
GLEN ALLEN VA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsEducational Seminars Workshops
Fee basis
% of AUM

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
clarisfinancial.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
PAXTON, JOHN, FAULKNER
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
PAXTON, JOHN, FAULKNER
DENNIS, PATRICK, MEDARD
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
CLARISFINANCIAL.COM
Rdap Domain Creation Date
2008-07-07T15:49:49Z
Rdap Firm Age Years
18
Rdap Firm Age Band
10-20y
Rdap Registrar
eNom, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002060278
Edgar Registered
Yes
Edgar Filing Count
6
Edgar First Filing Date
2025-06-17
Edgar Last Filing Date
2026-05-18
Edgar 13f Count
6
Edgar 13f Latest AUM Estimate
Filing Date2026-05-18
Accession0001213900-26-058149

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
4510 COX RDSUITE 302GLEN ALLEN, VA 23060
Business
4510 COX RDSUITE 302GLEN ALLEN, VA 23060
Edgar EIN
010908384
Edgar Recent Filings
13F-HR2026-05-18 · 0001213900-26-058149
13F-HR2026-04-07 · 0001213900-26-040912
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-09-14T03:59:59Z
Rdap Domain Last Changed
2025-08-16T06:20:53Z
Rdap Nameservers
Dns1.name-services.comDns2.name-services.comDns3.name-services.comDns4.name-services.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
2844197
Trust Company Affiliate
No

People (8)

8
PAXTON, JOHN, FAULKNER
IAR · Direct Owner · 62.5%
2844197
DENNIS, PATRICK, MEDARD
Direct Owner · 17.5%
3039763
BRIAN ROBERT HALL
Direct Owner · 17.5%
4047879
DEBORAH EDWARDS TUCKER
IAR
4226268
CHRISTOPHER LEE FARVER
IAR
5244099
AARON SCOTT GIBBS
IAR
5417190
RYAN DOUGLAS GIBBS
IAR
5181610
DANIEL FRANCIS MURPHY
IAR
2042726