{"url":"https://nivawealth.com/firms/branson-frank-a-110451","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/110451","regulatoryAum":223208345,"crd":"110451","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4391065","suffix":null,"lastName":"BRANSON","firstName":"FRANK","middleName":"ALVIN"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-12","regulatoryAum":220918746,"clients":12,"employees":3,"offices":1},{"filedOn":"2022-03-07","regulatoryAum":244715299,"clients":15,"employees":3,"offices":1},{"filedOn":"2023-03-07","regulatoryAum":215269463,"clients":16,"employees":3,"offices":1},{"filedOn":"2024-03-20","regulatoryAum":239312343,"clients":16,"employees":3,"offices":1},{"filedOn":"2025-03-20","regulatoryAum":262576303,"clients":16,"employees":3,"offices":1},{"filedOn":"2026-03-19","regulatoryAum":223208345,"clients":12,"employees":1,"offices":1}],"secFileNumber":"801-26380","legalName":"Branson Frank A Inc","displayName":"Branson Frank A","slug":"branson-frank-a-110451","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"435 B Middlefield Road","city":"Palo Alto","state":"CA","stateName":"California","country":"United States","postalCode":"94301-2722"},"tradeNames":[],"registration":{"secApproved":"7 February 1986","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":11384167.636363637,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":223208345,"discretionary":96511262,"discretionaryAccounts":9,"nonDiscretionary":126697083,"nonDiscretionaryAccounts":3,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":11,"regulatoryAum":125225844},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":97982501}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T08:25:11.639309+00:00","documents":[{"name":"FRANK A. BRANSON, INC.","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=956172","versionId":956172,"submittedOn":"2026-03-19"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=956173","versionId":956173,"submittedOn":null}]},"custodians":[{"name":"U. S. Bank","shortName":"U. S. Bank","location":"Cincinnati, OH","smaAssets":262576303},{"name":"U. S. Bank","shortName":"U. S. Bank","location":"Cincinatti, OH","smaAssets":262576303}],"custodyNote":"Branson Frank A does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Frank Branson","title":"President, Chief Compliance Officer","crd":"4391065"},{"name":"Coralee Branson","title":"Secretary","crd":"4391068"}],"ownership":[{"label":"Frank Branson","detail":"President, chief compliance officer in the 50% to 75% ownership band and a control person, since March 1980."},{"label":"Coralee Branson","detail":"Secretary in the 50% to 75% ownership band and a control person, since March 1980."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"435 B Middlefield Road","city":"Palo Alto","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"650-862-2369","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":71},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":2},{"label":"Cash and cash equivalents","percent":26}],"privateFunds":0},"sources":{"adv1FilingDate":"19 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/110451/PDF/110451.pdf","brochureDate":"19 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=956172","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Branson Frank A have?","answer":"Branson Frank A has 12 clients and manages $223 million for them, as of March 2026. They include 11 high-net-worth individuals and 1 charitable organization.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Branson Frank A offer?","answer":"Branson Frank A provides portfolio management for individuals and small businesses and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Branson Frank A use?","answer":"Branson Frank A’s separately managed account assets are held at U. S. Bank (Cincinnati, OH), with $263M and U. S. Bank (Cincinatti, OH), with $263M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 19 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Branson Frank A have?","answer":"Branson Frank A has 0 investment adviser representatives registered with state securities authorities, out of 1 employees, and 1 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Branson Frank A invest in?","answer":"At the end of its last fiscal year, Branson Frank A’s separately managed accounts held 71% exchange-traded equities, 26% cash and equivalents, 2% state and local bonds and 1% U.S. government and agency bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Branson Frank A?","answer":"Branson Frank A’s direct owners are Frank Branson (50% to 75%) and Coralee Branson (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Branson Frank A get paid?","answer":"Branson Frank A is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Branson Frank A?","answer":"Branson Frank A’s main office is at 435 B Middlefield Road, Palo Alto, CA 94301-2722. Its phone number is 650-862-2369.","source":"Form ADV Part 1A, Item 1.F, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}