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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

B.A. ROBERTS FINANCIAL SERVICES, INC.

CRD 289856

MARQUETTE, MI

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Search this name across graphsid dfx:ria:aa3ed5f0-99af-ed8a-a515-ef69750e9225

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 12
On other graphs: 0
Observed: Dec 5, 2017 to Mar 25, 2026
31 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $374MItem 5.F on the latest filing (2026-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $346M
Private client RAUM: $361MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $125Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,583
Individual clients: 1,210
High net worth clients: 134
Custody, client assets: $102M
SEC number: 801-112254
CRD: 289856
Filings on the tape: 31
First filed: Dec 5, 2017
Latest filed: Mar 25, 2026
Organised: Corporation, MI
Website: baroberts.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BRUCE ALLAN ROBERTS	Certified Financial Planner	MARQUETTE, MI	8	33	1	no
JESSICA FRANCES Kinonen	n/a	MARQUETTE, MI	3	14	n/a	no
Allen Van De Kreeke	n/a	MARQUETTE, MI	2	10	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CARRICK, STEFANY, LYNN	CHIEF OF STAFF	Na	yes	09/2024	Oct 3, 2024	Oct 3, 2024
MOMMAERTS MAHANEY FINANCIAL SERVICES, INC.	MANAGING MEMBER	D	yes	09/2017	Dec 5, 2017	Oct 3, 2024
MOMMAERTS, JON, CHARLES	Principal	Na	yes	10/2017	Dec 5, 2017	Oct 3, 2024
MOMMAERTS, JON, CHARLES	President	E	yes	01/2012	Dec 5, 2017	Oct 3, 2024
ROBERTS FINANCIAL SERVICES, INC.	MANAGING MEMBER	D	yes	09/2017	Dec 5, 2017	Oct 3, 2024
ROBERTS, BRUCE, ALLAN	President	E	yes	09/2017	Dec 5, 2017	Oct 3, 2024
ROBERTS, BRUCE, ALLAN	PRINCIPAL AND CHIEF COMPLIANCE OFFICER	Na	yes	10/2017	Dec 5, 2017	Oct 3, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 8 of 10

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Mar 25, 2026	$374M	$346M	8	3	n/a	n/a
2024	Mar 24, 2025	$630M	$591M	14	6	n/a	n/a
2023	Jan 29, 2024	$567M	$509M	12	5	n/a	n/a
2022	Mar 10, 2023	$475M	$430M	12	6	n/a	n/a
2021	Feb 16, 2022	$510M	$455M	11	5	n/a	n/a
2020	Feb 17, 2021	$427M	$379M	11	5	n/a	n/a
2019	Mar 19, 2020	$322M	$295M	11	5	n/a	n/a
2018	Mar 7, 2019	$222M	$216M	10	4	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	4

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$374M	$630M	-40.7%	$475M	-7.7%	8	14	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CWM, LLC	3	Jul 7, 2025	Apr 8, 2025	MARQUETTE, MI	Firm absorbed	RIA to ibd	50.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SAGEPOINT FINANCIAL, INC.	3	Dec 31, 2017	Jan 8, 2018	MARQUETTE, MI	Team lift out	Ibd to new firm	0.4%

Relationships

Registered with (8)

← Allen Van De KreekeAdvisorregistration: current employment
Jan 22, 2024 to presentfactForm ADV
← JESSICA FRANCES KinonenAdvisorregistration: current employment
May 3, 2023 to presentfactForm ADV
← BRUCE ALLAN ROBERTSAdvisorregistration: current employment
Jan 8, 2018 to presentfactForm ADV
← JON CHARLES MOMMAERTSAdvisorregistration: previous registration
Jan 8, 2018 to Jul 7, 2025factForm ADV
← JASON JOHN ROLLINGAdvisorregistration: previous registration
Sep 20, 2021 to Jul 7, 2025factForm ADV
← HALEY REED WAINIOAdvisorregistration: previous registration
Sep 14, 2022 to Jul 7, 2025factForm ADV
← JOSEPH MATTHEW TUCCINIAdvisorregistration: previous registration
Jan 8, 2018 to Nov 14, 2023factForm ADV
← Amy BuckAdvisorregistration: previous registration
Jun 3, 2019 to Jun 14, 2022factForm ADV

Moved with (2)

→ CWM, LLCRegistered adviser3 advisors, firm absorbed, same day
Jul 7, 2025 to Apr 8, 2025factForm ADV
← SAGEPOINT FINANCIAL, INC.Registered adviser3 advisors, team lift out
Dec 31, 2017 to Jan 8, 2018factForm ADV

Controls (5)

← ROBERTS, BRUCE, ALLANOwnerPRESIDENT, ownership code E, individual
Dec 5, 2017 to Oct 3, 2024factForm ADV
← MOMMAERTS, JON, CHARLESOwnerPRESIDENT, ownership code E, individual
Dec 5, 2017 to Oct 3, 2024factForm ADV
← CARRICK, STEFANY, LYNNOwnerCHIEF OF STAFF, ownership code NA, individual
Oct 3, 2024 to Oct 3, 2024factForm ADV
← MOMMAERTS MAHANEY FINANCIAL SERVICES, INC.OwnerMANAGING MEMBER, ownership code D, domestic entity
Dec 5, 2017 to Oct 3, 2024factForm ADV
← ROBERTS FINANCIAL SERVICES, INC.OwnerMANAGING MEMBER, ownership code D, domestic entity
Dec 5, 2017 to Oct 3, 2024factForm ADV

Dated events

Occurred
Feb 9, 2026
Succession filed (Item 4)
B.A. Roberts Financial Services, Inc. reported succeeding to the business of Roberts Financial Services, Llc (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
Aug 26, 2025
Regulatory AUM changed
B.A. Roberts Financial Services, Inc. reported RAUM $342.5M, down 46% from $630.4M (2025-07-24 to 2025-08-26)
Form ADVobserved 5 days ago
$-288M
Occurred
Jul 7, 2025
Firm absorbed
B.A. Roberts Financial Services, Inc.'s advisors moved to Cwm, LLC (Marquette, MI): 3 of 6 registered, on the same day
Form ADVobserved 5 days ago
3 advisors
Occurred
Jul 7, 2025
Advisor changed firm
Jon Charles Mommaerts left B.A. Roberts Financial Services, Inc. for Cwm, Llc (registered 2025-04-07)
Form ADVobserved 5 days ago
Occurred
Jul 7, 2025
Advisor changed firm
Jason John Rolling left B.A. Roberts Financial Services, Inc. for Cwm, Llc (registered 2025-04-08)
Form ADVobserved 5 days ago
Occurred
Jul 7, 2025
Advisor changed firm
Haley Reed Wainio left B.A. Roberts Financial Services, Inc. for Cwm, Llc (registered 2025-04-07)
Form ADVobserved 5 days ago
Occurred
Oct 3, 2024
Control person joined
Lynn Stefany Carrick (Chief Of Staff) appeared on Schedule A of B.A. Roberts Financial Services, Inc.
Form ADVobserved 5 days ago
Occurred
Nov 14, 2023
Advisor changed firm
Joseph Matthew Tuccini left B.A. Roberts Financial Services, Inc. for Ameriprise Financial Services, Llc (registered 2024-01-22)
Form ADVobserved 5 days ago
Occurred
Jun 14, 2022
Advisor changed firm
Amy Buck left B.A. Roberts Financial Services, Inc. for Osaic Institutions, Inc. (registered 2022-08-05)
Form ADVobserved 5 days ago
Occurred
Feb 17, 2021
Regulatory AUM changed
B.A. Roberts Financial Services, Inc. reported RAUM $427.0M, up 32% from $322.3M (2020-10-01 to 2021-02-17)
Form ADVobserved 5 days ago
$105M
Occurred
Mar 19, 2020
Regulatory AUM changed
B.A. Roberts Financial Services, Inc. reported RAUM $322.3M, up 45% from $222.0M (2019-12-26 to 2020-03-19)
Form ADVobserved 5 days ago
$100M
Occurred
Dec 5, 2017
First Form ADV filing
Erts Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aa3ed5f0-99af-ed8a-a515-ef69750e9225
First observed: Dec 5, 2017
Last observed: Mar 25, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

B.A. ROBERTS FINANCIAL SERVICES, INC.

CRD 289856

MARQUETTE, MI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:aa3ed5f0-99af-ed8a-a515-ef69750e9225

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BRUCE ALLAN ROBERTS

Certified Financial Planner

MARQUETTE, MI

JESSICA FRANCES Kinonen

n/a

MARQUETTE, MI

n/a

Allen Van De Kreeke

n/a

MARQUETTE, MI

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARRICK, STEFANY, LYNN

CHIEF OF STAFF

yes

09/2024

Oct 3, 2024

MOMMAERTS MAHANEY FINANCIAL SERVICES, INC.

MANAGING MEMBER

yes

09/2017

Dec 5, 2017

Oct 3, 2024

MOMMAERTS, JON, CHARLES

Principal

yes

10/2017

Dec 5, 2017

Oct 3, 2024

MOMMAERTS, JON, CHARLES

President

yes

01/2012

Dec 5, 2017

Oct 3, 2024

ROBERTS FINANCIAL SERVICES, INC.

MANAGING MEMBER

yes

09/2017

Dec 5, 2017

Oct 3, 2024

ROBERTS, BRUCE, ALLAN

President

yes

09/2017

Dec 5, 2017

Oct 3, 2024

ROBERTS, BRUCE, ALLAN

PRINCIPAL AND CHIEF COMPLIANCE OFFICER

yes

10/2017

Dec 5, 2017

Oct 3, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 25, 2026

$374M

$346M

n/a

2024

Mar 24, 2025

$630M

$591M

n/a

2023

Jan 29, 2024

$567M

$509M

n/a

2022

Mar 10, 2023

$475M

$430M

n/a

2021

Feb 16, 2022

$510M

$455M

n/a

2020

Feb 17, 2021

$427M

$379M

n/a

2019

Mar 19, 2020

$322M

$295M

n/a

2018

Mar 7, 2019

$222M

$216M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$374M

$630M

-40.7%

$475M

-7.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CWM, LLC

Jul 7, 2025

Apr 8, 2025

MARQUETTE, MI

Firm absorbed

RIA to ibd

50.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SAGEPOINT FINANCIAL, INC.

Dec 31, 2017

Jan 8, 2018

MARQUETTE, MI

Team lift out

Ibd to new firm

0.4%