{"url":"https://nivawealth.com/firms/marchand-faries-financial-management-107813","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/107813","regulatoryAum":138663958,"crd":"107813","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5115108","suffix":"II","lastName":"FARIES","firstName":"JOHN","middleName":"ROYAL"},{"crd":"2715290","suffix":null,"lastName":"FARIES","firstName":"STEPHEN","middleName":"TERRY"},{"crd":"2275496","suffix":null,"lastName":"MARCHAND","firstName":"JANE","middleName":"ELIZABETH"},{"crd":"7223917","suffix":null,"lastName":"SHEFFLER","firstName":"JENNIFER","middleName":"CATHERINE"}],"total":4,"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":"2021-05-24","regulatoryAum":124021462,"clients":91,"employees":4,"offices":3},{"filedOn":"2022-02-16","regulatoryAum":125491739,"clients":82,"employees":4,"offices":3},{"filedOn":"2023-02-07","regulatoryAum":108598013,"clients":86,"employees":4,"offices":3},{"filedOn":"2024-02-18","regulatoryAum":120104780,"clients":91,"employees":4,"offices":3},{"filedOn":"2025-02-22","regulatoryAum":131165256,"clients":90,"employees":4,"offices":3},{"filedOn":"2026-02-26","regulatoryAum":138663958,"clients":90,"employees":4,"offices":3}],"acquisitions":[{"date":"2010-12-31","datePrecision":"day","name":"Wealth","crd":"140018","source":"adv_w","dealType":"acquisition","sellerAum":null,"sellerAumDate":null,"sourceUrl":"https://adviserinfo.sec.gov/firm/summary/140018"}],"secFileNumber":"801-121512","legalName":"Marchand 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2020."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"904-805-0207","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":10},{"label":"Securities issued by registered investment companies or business development companies","percent":83},{"label":"Cash and cash equivalents","percent":5},{"label":"Other","percent":2,"detail":"Reits"}],"privateFunds":0},"sources":{"adv1FilingDate":"26 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/107813/PDF/107813.pdf","brochureDate":"26 February 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They include 48 individual clients and 42 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Marchand Faries Financial Management offer?","answer":"Marchand Faries Financial Management provides portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Marchand Faries Financial Management charge?","answer":"Marchand Faries Financial Management charges 0.25%–0.75% a year for its Portfolio Management Fees. The fee is billed in arrears and has a $750 annual minimum.","source":"MARCHAND FARIES FINANCIAL MANAGEMENT INC ADV BROCHURE, filed 26 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Marchand Faries Financial Management use?","answer":"Marchand Faries Financial Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $137M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Marchand Faries Financial Management have?","answer":"Marchand Faries Financial Management has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 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 Marchand Faries Financial Management invest in?","answer":"At the end of its last fiscal year, Marchand Faries Financial Management’s separately managed accounts held 83% registered funds (mutual funds, ETFs, BDCs), 10% exchange-traded equities, 5% cash and equivalents and 2% other. The 2% other category is described as: Reits.","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 Marchand Faries Financial Management?","answer":"Marchand Faries Financial Management’s direct owners are Stephen Faries (25% to 50%), Jane Marchand (50% to 75%), John Faries (10% to 25%) and Jennifer Sheffler (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 26 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Marchand Faries Financial Management get paid?","answer":"Marchand Faries Financial Management is paid through a percentage of assets under management. 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Marchand Faries Financial Management?","answer":"Its phone number is 904-805-0207. Its website is mffm.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 February 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."}