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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

MARCHAND FARIES FINANCIAL MANAGEMENT, INC.

CRD 107813

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:ed4ca268-c6c7-5127-e74c-e7257492ea86

Data as of Feb 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Feb 27, 2012 to Feb 26, 2026
17 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $139MItem 5.F on the latest filing (2026-02-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $139M
Private client RAUM: $139MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $34.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 4
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 223
Individual clients: 48
High net worth clients: 42
SEC number: 801-121512
CRD: 107813
Filings on the tape: 17
First filed: Feb 27, 2012
Latest filed: Feb 26, 2026
Organised: Corporation, FL
Website: mffm.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
JANE ELIZABETH MARCHAND	n/a	KEYSTONE HEIGHTS, FL	29	33	1	no
STEPHEN TERRY FARIES	n/a	KEYSTONE HEIGHTS, FL	29	30	1	no
JENNIFER CATHERINE SHEFFLER	Certified Financial Planner	JUPITER, FL \| Jupiter, FL	6	10	n/a	no
JOHN ROYAL FARIES	n/a	JUPITER, FL \| Parker, CO	0	14	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
FARIES, JOHN, ROYAL	EXECUTIVE VICE PRESIDENT/BOARD MEMBER	B	yes	10/2016	May 17, 2021	Feb 18, 2024
FARIES, STEPHEN, TERRY	VICE PRESIDENT, BOARD MEMBER	C	yes	01/1996	Feb 27, 2012	Feb 18, 2024
MARCHAND, JANE, ELIZABETH	PRESIDENT, BOARD MEMBER, CHIEF COMPLIANCE OFFICER	D	yes	01/1996	Feb 27, 2012	Feb 18, 2024
SHEFFLER, JENNIFER, CATHERINE	VICE PRESIDENT, BOARD MEMBER, DIRECTOR OF CLIENT SERVICES	B	yes	01/2020	May 17, 2021	Feb 18, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no
n/a	n/a	n/a	1	no

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 26, 2026	$139M	$139M	4	4	2	n/a	n/a
2024	Feb 22, 2025	$131M	$131M	4	4	2	n/a	n/a
2023	Feb 18, 2024	$120M	$120M	4	4	2	n/a	n/a
2022	Jan 31, 2023	$109M	$109M	4	4	2	n/a	n/a
2021	Feb 16, 2022	$125M	$125M	4	4	2	n/a	n/a
2011	Feb 27, 2012	$74.1M	$72.1M	n/a	n/a	n/a	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	0

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	$139M	$131M	5.7%	$109M	8.5%	4	4	2	2

Relationships

Registered with (4)

← JOHN ROYAL FARIESAdvisorregistration: current employment
Nov 19, 2025 to presentfactForm ADV
← JENNIFER CATHERINE SHEFFLERAdvisorregistration: current employment
Feb 7, 2020 to presentfactForm ADV
← JANE ELIZABETH MARCHANDAdvisorregistration: current employment
Mar 18, 1997 to presentfactForm ADV
← STEPHEN TERRY FARIESAdvisorregistration: current employment
Mar 18, 1997 to presentfactForm ADV

Controls (4)

← MARCHAND, JANE, ELIZABETHOwnerPRESIDENT, BOARD MEMBER, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 27, 2012 to Feb 18, 2024factForm ADV
← FARIES, STEPHEN, TERRYOwnerVICE PRESIDENT, BOARD MEMBER, ownership code C, individual
Feb 27, 2012 to Feb 18, 2024factForm ADV
← FARIES, JOHN, ROYALOwnerEXECUTIVE VICE PRESIDENT/BOARD MEMBER, ownership code B, individual
May 17, 2021 to Feb 18, 2024factForm ADV
← SHEFFLER, JENNIFER, CATHERINEOwnerVICE PRESIDENT, BOARD MEMBER, DIRECTOR OF CLIENT SERVICES, ownership code B, individual
May 17, 2021 to Feb 18, 2024factForm ADV

Dated events

Occurred
May 17, 2021
Control person joined
Royal John Faries (Executive Vice President/Board Member) appeared on Schedule A of Marchand Faries Financial Management, Inc.
Form ADVobserved 6 days ago
Occurred
May 17, 2021
Control person joined
Catherine Jennifer Sheffler (Vice President, Board Member, Director Of Client Services) appeared on Schedule A of Marchand Faries Financial Management, Inc.
Form ADVobserved 6 days ago
Occurred
May 17, 2021
First Form ADV filing
Marchand Faries Financial Management, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ed4ca268-c6c7-5127-e74c-e7257492ea86
First observed: Feb 27, 2012
Last observed: Feb 26, 2026 6 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.

MARCHAND FARIES FINANCIAL MANAGEMENT, INC.

CRD 107813

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:ed4ca268-c6c7-5127-e74c-e7257492ea86

Data as of Feb 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:24 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JANE ELIZABETH MARCHAND

n/a

KEYSTONE HEIGHTS, FL

STEPHEN TERRY FARIES

n/a

KEYSTONE HEIGHTS, FL

JENNIFER CATHERINE SHEFFLER

Certified Financial Planner

JUPITER, FL | Jupiter, FL

n/a

JOHN ROYAL FARIES

n/a

JUPITER, FL | Parker, CO

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FARIES, JOHN, ROYAL

EXECUTIVE VICE PRESIDENT/BOARD MEMBER

yes

10/2016

May 17, 2021

Feb 18, 2024

FARIES, STEPHEN, TERRY

VICE PRESIDENT, BOARD MEMBER

yes

01/1996

Feb 27, 2012

Feb 18, 2024

MARCHAND, JANE, ELIZABETH

PRESIDENT, BOARD MEMBER, CHIEF COMPLIANCE OFFICER

yes

01/1996

Feb 27, 2012

Feb 18, 2024

SHEFFLER, JENNIFER, CATHERINE

VICE PRESIDENT, BOARD MEMBER, DIRECTOR OF CLIENT SERVICES

yes

01/2020

May 17, 2021

Feb 18, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 26, 2026

$139M

n/a

2024

Feb 22, 2025

$131M

n/a

2023

Feb 18, 2024

$120M

n/a

2022

Jan 31, 2023

$109M

n/a

2021

Feb 16, 2022

$125M

n/a

2011

Feb 27, 2012

$74.1M

$72.1M

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

$139M

$131M

5.7%

$109M

8.5%