B.A. Roberts Financial Services, Inc.

RIASEC Registered
Total AUM
$374M
Discretionary
$346M
93% of AUM
Avg account
$236K
Accounts
1,583
Employees
8
Advisory reps
4

Firm details

Headquarters
Marquette, Michigan
CRD number
289856
Registered since
January 2, 2018
Custodians
FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI73.85%
  • Individuals22.82%
  • Pension & Profit Sharing Plans3.13%
  • Charitable Organizations0.2%
Services
Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

B.A. Roberts Financial Services, Inc. is an independent, privately owned registered investment adviser that focuses on serving individual and family clients. The firm is SEC-registered and first registered in 2018. It operates as a capital allocator and offers a mix of fee arrangements, including a percentage of assets under management, hourly charges, and fixed-fee engagements. Service offerings emphasize financial planning and discretionary portfolio management for individuals and small businesses, along with pension-related consulting work and the selection of third‑party advisers when appropriate. The firm does not identify as an active ESG investor and appears to concentrate its client base on direct households rather than institutional or multi-state mandates.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 91%, Cash & Cash Equivalents 3%, Public Funds/Mutual Funds 2%, US Government Bonds 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%, Non-Investment Grade Corp Bonds 1%91%
  • Exchange Traded Equities91%
  • Cash & Cash Equivalents3%
  • Public Funds/Mutual Funds2%
  • US Government Bonds1%
  • State & Local Bonds1%

Owners & executives

FINTRX

Contacts

FINTRX

Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

ETF holdings

1 of 31

Active vs passive

$476M in ETFs

Passive

97%

$461M

Active

0%

$14.8M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE MSCI EUROPE ETF (IEUR)BlackRockPassiveEurope Stock$60.7M823,92712.76%

Location

Primary office

Marquette, MI

Marquette

Location

Marquette, MI

Headquartered in Marquette, MI, in the Midwest of the United States.

Region
Midwest
County
Marquette
Address
989 W Washington St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth