B.a. Roberts Financial Services provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers. Financial planning was provided to 500 clients last fiscal year.
B.a. Roberts Financial Services reports 1,344 clients. They include 1,210 individual clients and 134 high-net-worth individuals. Of its assets, 92.6% ($346M across 1,578 accounts) are managed with discretion; $27.7M across 5 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 90% | 23% |
| High-net-worth individuals | 10% | 74% |
| Pension and profit-sharing plans | Fewer than 5 | 3% |
| Charitable organizations | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 1,210 | $85.3M | 22.8% | $70.5K |
| High-net-worth individuals | 134 | $276M | 73.9% | $2.06M |
| Pension and profit-sharing plans | Fewer than 5 | $11.7M | 3.1% | — |
| Charitable organizations | Fewer than 5 | $754K | 0.2% | — |
| Total | 1,344 | $374M | 100% | — |
- Clients
- 1,210
- Regulatory AUM
- $85.3M
- AUM share
- 22.8%
- Avg. per client
- $70.5K
- Clients
- 134
- Regulatory AUM
- $276M
- AUM share
- 73.9%
- Avg. per client
- $2.06M
- Clients
- Fewer than 5
- Regulatory AUM
- $11.7M
- AUM share
- 3.1%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $754K
- AUM share
- 0.2%
- Avg. per client
- —
Total
- Clients
- 1,344
- Regulatory AUM
- $374M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 500
B.a. Roberts Financial Services charges 0.10%–1.15% a year for its Investment Advisory Services. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning and Consulting
- Hourly rate of up to $250 per hour, or a fixed fee engagement; up to 50% of the fee is invoiced on signing.
Bruce Roberts owns 75% or more of B.a. Roberts Financial Services. The leadership team of B.a. Roberts Financial Services includes Chief Compliance Officer Bruce Roberts. It has 8 employees, 3 of them in advisory roles.
Leadership
- Bruce RobertsPrincipal and Chief Compliance Officer
- Stefany CarrickChief of Staff
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
- Jessica Frances Kinonen
- Bruce Allan Roberts
- Allen Van De Kreeke
Staff
- 8 employees
- 3 in advisory functions
- 3 state-registered reps
- Owns 75% or more of B.a. Roberts Financial Services, Inc.
Bruce Roberts
Control person · since October 2017
B.a. Roberts Financial Services’ regulatory assets fell from $427M (February 2021) to $374M (March 2026); clients fell from 1,556 to 1,344 and employees from 11 to 8.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $374M | 1,344 | 8 | 1 |
| July 2025 | $630M | 1,439 | 8 | 1 |
| April 2024 | $567M | 2,083 | 12 | 1 |
| March 2023 | $475M | 1,856 | 12 | 1 |
| February 2022 | $510M | 1,766 | 11 | 1 |
| February 2021 | $427M | 1,556 | 11 | 1 |
Besides its headquarters, B.a. Roberts Financial Services has 0 offices, with 1 listed address in Michigan.
Michigan · 1 listed address
- 989 West Washington Street, Suite 101, MarquetteHQ
Other business names
B.a. Roberts Financial Services has reported 1 other business name to the SEC.
- Roberts Financial Services, Inc.
Contact and registration details
- Legal name
- B.a. Roberts Financial Services, Inc.
- Headquarters
- 989 West Washington Street, Suite 101, Marquette, MI 49855
- Website
- Not reported
- Phone
- 906-228-5564
- SEC file
- 801-112254
- Structure
- Michigan corporation
- Fiscal year end
- December
B.a. Roberts Financial Services uses Fidelity ($346M) as custodian for its separately managed accounts. B.a. Roberts Financial Services has custody of $102M in client assets for 325 clients.
- FidelityFidelity Brokerage Services LLC · Omaha, NE · $346M100%
At year end, B.a. Roberts Financial Services’ separately managed accounts were mostly in stocks (91%).
What the accounts hold
- Stocks91%
- Funds2%
- Bonds4%
- U.S. government and agency bonds1%
- State and local bonds1%
- Investment grade corporate bonds1%
- High-yield corporate bonds1%
- Cash3%
How many clients does B.a. Roberts Financial Services have?
B.a. Roberts Financial Services has 1,344 clients and manages $374 million for them, as of March 2026. They include 1,210 individual clients and 134 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026
What services does B.a. Roberts Financial Services offer?
B.a. Roberts Financial Services provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does B.a. Roberts Financial Services charge?
B.a. Roberts Financial Services charges 0.10%–1.15% a year for its Investment Advisory Services. The fee is billed in advance and is negotiable.
Source: ROBERTS FINANCIAL DISCLOSURE BROCHURE & SUPPLEMENTS, filed 9 February 2026
Which custodians does B.a. Roberts Financial Services use?
B.a. Roberts Financial Services’ separately managed account assets are held at Fidelity Brokerage Services LLC (Omaha, NE), with $346M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 March 2026
How many financial advisors does B.a. Roberts Financial Services have?
B.a. Roberts Financial Services has 3 investment adviser representatives registered with state securities authorities, out of 8 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does B.a. Roberts Financial Services invest in?
At the end of its last fiscal year, B.a. Roberts Financial Services’ separately managed accounts held 91% exchange-traded equities, 3% cash and equivalents, 2% registered funds (mutual funds, ETFs, BDCs), 1% U.S. government and agency bonds, 1% state and local bonds, 1% investment grade corporate bonds and 1% high-yield corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns B.a. Roberts Financial Services?
B.a. Roberts Financial Services’ direct owner is Bruce Roberts (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 25 March 2026
How does B.a. Roberts Financial Services get paid?
B.a. Roberts Financial Services is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact B.a. Roberts Financial Services?
B.a. Roberts Financial Services’ main office is at 989 West Washington Street, Suite 101, Marquette, MI 49855. Its phone number is 906-228-5564.