DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Francis LLC
Latest filing Mar 27, 2026
First filing on the tape Mar 9, 2012 · 16 filings
SEC status approved since Mar 12, 2004
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
26
20 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$0 as of Mar 27, 2026
Mar 9, 2012$81.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)20 as of Mar 27, 2026
Mar 9, 20120 then
Employees (5.A)26 as of Mar 27, 2026
Mar 22, 201315 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 21 to 20offices 3 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 8.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -4.8%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 80reported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Timothy Michael Shirk | Brookfield, Wi | Jan 23, 2015 | 20 y | 0 |
| Matthew M VandreChartered Financial Consultant | Brookfield, Wi | Feb 18, 2015 | 15 y | 1 |
| Michael John Francis | Brookfield, Wi | Nov 25, 2015 | 41 y | 0 |
| Elizabeth Marie Aidoo | Brookfield, Wi | Aug 30, 2017 | 12 y | 0 |
| Jayson Andrew VoigtCertified Financial Planner | Brookfield, Wi | Nov 4, 2017 | 28 y | 1 |
| David Ryan Mandel | Brookfield, Wi | Dec 5, 2019 | 20 y | 0 |
| Peter Joseph Castro | Brookfield, Wi | Mar 6, 2020 | 11 y | 0 |
| Pedro G Dominguez | Brookfield, Wi | Mar 9, 2023 | 13 y | 0 |
| Kevin Dennis Skow | Lake Elmo, Mn | Mar 14, 2023 | 22 y | 0 |
| Blake Matthew Thomas | Brookfield, Wi | Sep 17, 2024 | 10 y | 0 |
| Joseph John Topp | Brookfield, Wi | Jan 1, 2025 | 26 y | 0 |
| Macy Marie Fallico | Brookfield, Wi | Jan 1, 2025 | 13 y | 0 |
| Clifford Henry Dunteman | Brookfield, Wi | Jan 1, 2025 | 33 y | 0 |
| Michael N HartfieldChartered Financial Analyst | Brookfield, Wi | Sep 5, 2025 | 12 y | 0 |
| Kelli B SendCertified Financial Planner | Brookfield, Wi | Jan 14, 2026 | 32 y | 0 |
| Jonathan N NolanChartered Financial Analyst | Brookfield, Wi | Jan 27, 2026 | 10 y | 0 |
| Dina Maleny Capetillo Jimenez | Brookfield, Wi | Jun 10, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.9% of current headcount1 left over 36 months
Left, latest
- Eric Daniel Hencley to Madison PartnersJan 7, 2026 · Other
- Alexandra Louise Moen to Mma Securities LLCOct 3, 2022 · Other
- Alicia Lynette Stingley to Empower Advisory Group, LLCNov 1, 2017 · Other
Joined, latest
- Eric Daniel Hencley from Smedley Financial Services IncJan 12, 2018 · Other
- Jayson Andrew Voigt from Filbrandt Investment Advisers IncorporatedNov 4, 2017 · Other
- Matthew M Vandre from Principal Securities, Inc.Feb 18, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Michael Francis · Member, Chief Compliance Officercontrolsince 02/2004 · owns 50% to 75%
- Henry Clifford Dunteman · Membersince 08/2008 · owns 5% to 10%
- B Kelli Send · Membersince 02/2004 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brookfield, Wi · principal | 17 | 3 | 1 | ||
| Lake Elmo, Mn | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Oakdale, MN3 employees
- Chesterfield, MO1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- office count dropChange between filings · filing Mar 27, 2026offices other than the principal office (Item 1.F.5) moved from 3.0 to 1.0 (-67.0%) between the annual amendments of 2025-03-31 and 2026-03-27; the peer median change was 0.0% (42 comparable advisers, 5.0th percentile of changes)peers: other advisers, under $100M (42) · 4.9% percentile
What changed
consecutive filings, newest first
- Advisory employees · 21 to 20Mar 31, 2025 to Mar 27, 2026
- Corporate clients · 13 to 17Mar 31, 2025 to Mar 27, 2026
- Employees · 27 to 26Mar 31, 2025 to Mar 27, 2026
- State-registered IARs · 21 to 20Mar 31, 2025 to Mar 27, 2026
- Other offices · 3 to 1Mar 31, 2025 to Mar 27, 2026
- Accounts · unset to 0.0Mar 20, 2024 to Mar 31, 2025
- Advisory employees · 18 to 21Mar 20, 2024 to Mar 31, 2025
- Business name · FRANCIS INVESTMENT COUNSEL LLC to FRANCIS LLCMar 20, 2024 to Mar 31, 2025
- Corporate clients · unset to 13.0Mar 20, 2024 to Mar 31, 2025
- Pension plan clients · 84 to 80Mar 20, 2024 to Mar 31, 2025
- Employees · 22 to 27Mar 20, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 31, 2025
- State-registered IARs · 17 to 21Mar 20, 2024 to Mar 31, 2025
- Other offices · 2 to 3Mar 20, 2024 to Mar 31, 2025
- Discretionary RAUM · unset to 0.0Mar 20, 2024 to Mar 31, 2025
- Non-discretionary RAUM · unset to 0.0Mar 20, 2024 to Mar 31, 2025
- RAUM · unset to 0.0Mar 20, 2024 to Mar 31, 2025
- Charity clients · 0.0 to unsetMar 23, 2023 to Mar 20, 2024
- Pension plan clients · 93 to 84Mar 23, 2023 to Mar 20, 2024
- Financial planning clients · 0 to unsetMar 23, 2023 to Mar 20, 2024
- State-registered IARs · 16 to 17Mar 23, 2023 to Mar 20, 2024
- Legal name · FRANCIS INVESTMENT COUNSEL LLC to FRANCIS LLCMar 23, 2023 to Mar 20, 2024
- Other offices · 1 to 2Mar 23, 2023 to Mar 20, 2024
- Accounts · 2.0 to unsetMar 30, 2022 to Mar 23, 2023
- Advisory employees · 16 to 18Mar 30, 2022 to Mar 23, 2023
- Advisory activities · 5 to 4Mar 30, 2022 to Mar 23, 2023
- Corporate clients · 0.0 to unsetMar 30, 2022 to Mar 23, 2023
- Pension plan clients · 2 to 93Mar 30, 2022 to Mar 23, 2023
- Employees · 18 to 22Mar 30, 2022 to Mar 23, 2023
- State-registered IARs · 14 to 16Mar 30, 2022 to Mar 23, 2023
- Discretionary RAUM · 176791312.0 to unsetMar 30, 2022 to Mar 23, 2023
- Non-discretionary RAUM · 0.0 to unsetMar 30, 2022 to Mar 23, 2023
- Pension RAUM · 176791312.0 to unsetMar 30, 2022 to Mar 23, 2023
- RAUM · 176791312.0 to unsetMar 30, 2022 to Mar 23, 2023
- Advisory activities · 6 to 5Mar 11, 2021 to Mar 30, 2022
- Employees · 20 to 18Mar 11, 2021 to Mar 30, 2022
- Financial planning clients · 26-50 to 0Mar 11, 2021 to Mar 30, 2022
- State-registered IARs · 16 to 14Mar 11, 2021 to Mar 30, 2022
- Discretionary RAUM · $163M to $177MMar 11, 2021 to Mar 30, 2022
- Pension RAUM · $163M to $177MMar 11, 2021 to Mar 30, 2022
Signals
2 dated events
- Eric Daniel Hencley left Francis Llc for Madison Partners (registered 2026-01-06)Jan 7, 2026 · Advisor changed firm · fact
- Alexandra Louise Moen left Francis Llc for Mma Securities Llc (registered 2021-07-28)Oct 3, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/francisllcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- FRANCISWAY.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 866-232-6457reportedpublic record, Form ADV, Mar 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- No RAUM reportedderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026