AdvisorGrade
Fee-basedFiduciaryNo reported disclosuresLocal

B.A. Roberts Financial Services, INC.

B.A. Roberts Financial Services, INC. is a fee-based, SEC-registered investment adviser in Marquette, Michigan, registered with the SEC since 2018, managing approximately $374M. As an SEC-registered adviser it is held to a fiduciary standard. Its exact fee schedule and account minimums are disclosed in Form ADV Part 2A.

View official SEC record ↗Firm website ↗Try our matching tool →

Source: SEC Form ADV · CRD #289856 · SEC #801-112254 · SEC-registered since 2018 (8 yrs) · Last filing data January 1, 2026

AUM
$374M

as of 2026

Fee model
Fee-based

per Form ADV 5.E

Clients
Not reported

Form ADV 5.C — may be institutional

Employees
8

3 advisers

Assets per adviser

$125Mper adviser

A scale-normalized measure that lets you compare large and small firms. The typical firm in our directory manages about $102M per adviser — this firm is around the typical range.

From baroberts.com

Visit site ↗
Screenshot of the B.A. Roberts Financial Services, INC. website

Overview

AI-generated summary

B.A. Roberts Financial Services, INC. is a fee-based, SEC-registered investment adviser based in Marquette, Michigan. It reported approximately $374M in regulatory assets under management on its most recent Form ADV. The firm reported no disclosures on its most recent Form ADV filing.

This summary is generated from Form ADV data and may not capture all nuances. Always review the complete SEC filing before making decisions.

Firm details

CRD #
289856
SEC #
801-112254
Headquarters
Marquette, MI
Employees
8

Clients served

Client types not reported on this filing.

Fees & compensation

  • Compensation model: Fee-based — the firm reports client fees and may also receive commissions on certain products.
  • Typical fee range: See Part 2A. Exact advisory fee rates are reported in Form ADV Part 2A, not Part 1.
  • Account minimum: See Part 2A. Minimums are disclosed in the firm's Part 2A brochure.
  • Custodial, trading, and fund expenses may apply in addition to advisory fees. See the firm's Form ADV Part 2A for the complete fee schedule.

Assets under management

2026$374M
Assets under management by year
YearReported AUM
2026$374M

Reflects the most recent Form ADV filing. Multi-year history is added as additional historical filings are ingested.

Disclosures

B.A. Roberts Financial Services, INC. reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.

Frequently asked questions

Is B.A. Roberts Financial Services, INC. a fiduciary?+

Yes. B.A. Roberts Financial Services, INC. is an SEC-registered investment adviser (CRD #289856), which means it is held to a fiduciary standard and must act in its clients' best interest. Verify its current status on the SEC's Investment Adviser Public Disclosure (IAPD) site.

How is B.A. Roberts Financial Services, INC. compensated?+

B.A. Roberts Financial Services, INC. reports a fee-based compensation model on its Form ADV. Fee-based advisers charge client fees and may also earn commissions on certain products. Exact fee rates and account minimums are disclosed in the firm's Form ADV Part 2A brochure.

How much money does B.A. Roberts Financial Services, INC. manage?+

B.A. Roberts Financial Services, INC. reported approximately $374M in regulatory assets under management as of its most recent Form ADV filing.

Does B.A. Roberts Financial Services, INC. have any disclosures?+

B.A. Roberts Financial Services, INC. reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.

This profile is generated from publicly available SEC filings. B.A. Roberts Financial Services, INC. has not verified or endorsed this information. Last updated from filings: January 1, 2026. View the official filing at SEC IAPD.

·
← Back to directory