# Francis Financial

Francis Financial is a RIA based in New York, United States.

## Overview

- **Organization type:** RIA
- **Headquarters:** New York, United States
- **Region:** North America
- **Address:** New York, NY, United States
- **Founded:** 2003
- **Assets under management:** Undisclosed
- **Website:** francisfinancial.com
- **LinkedIn:** https://www.linkedin.com/company/francis-financial-inc

## Regulatory record

- **CRD number:** 128067
- **SEC file number:** 801-76703
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/128067

## About

FRANCIS FINANCIAL is an SEC-registered investment adviser in NEW YORK, NY, registered since 2012. The firm manages $803 million in assets, $741 million on a discretionary basis. It has 14 employees and 7 investment advisers.

## People

- Stacy Francis — President and CEO

## Questions

### Who runs investment decisions at Francis Financial?

Stacy Francis, the founder and CEO, chairs the firm's three-person investment committee and retains final say on portfolio construction and manager selection. The committee operates without an external CIO, which concentrates all asset-allocation authority under Francis. No public succession plan or external advisory board has been disclosed.

### How is Francis Financial's client base different from a typical RIA?

The firm almost exclusively serves high-net-worth women — particularly those in the immediate aftermath of divorce or the death of a spouse. This is not a generalist wealth management practice that includes women among other demographics. The entire service model, from tax planning to cash-flow modeling, is engineered for the financial complexities that arise during marital dissolution or widowhood.

### What asset classes does Francis Financial typically allocate to?

The firm constructs portfolios around public equities, fixed income, and cash equivalents, with tactical use of alternatives for accredited clients. The investment philosophy emphasizes capital preservation and tax-efficient income generation over aggressive growth, a stance shaped by the life-stage needs of its client base — who are often facing immediate liquidity demands from settlement agreements or estate taxes.

### Is there a succession plan for the firm?

No public succession plan exists. Francis remains the sole named principal, the chair of the investment committee, and the public face of the brand. For a practice concentrated on a single operator — where client trust is deeply personal and tied to the founder's own story — the absence of a disclosed next-generation leadership structure is a due-diligence item for any institution evaluating continuity risk.

## Related profiles

- [Fort Ross Capital Management](https://altss.com/profile/fort-ross-capital-management-llc)
- [HELM Financial Advisors](https://altss.com/profile/helm-financial-advisors-llc)

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Last updated: 2026-06-03T20:00:00.000Z

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