B.A. Roberts Financial Services, Inc.
- Regulatory AUM
- $374M
- Discretionary
- $346M
- Clients
- 1,344
- Avg AUM / client
- $278K
- Accounts
- 1,583
- Employees
- 8
AUM over time
Annual snapshots from Form ADV filings · as of Mar 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,210 | $85.3M | 22.8% |
| High net worth individuals | 134 | $276M | 73.9% |
| Pension and profit sharing plans | Fewer than 5 clients | $11.7M | 3.13% |
| Charitable organizations | Fewer than 5 clients | $754K | 0.2% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jon Charles Mommaerts | Principal | CFP | Jan 2012 (15y) | ≈ 37.5% – 75% via Mommaerts Mahaney Financial Services, Inc. |
| Bruce Allan Roberts | Principal And Chief Compliance Officer | CFP | Sep 2017 (9y) | ≈ 37.5% – 75% via Roberts Financial Services, Inc. |
| Carrick, Stefany, Lynn | Chief Of Staff | Sep 2024 (2y) | Less than 5% | |
| Jessica Frances Kinonen | Registered representative | May 2023 (3y) | ||
| Allen Van De Kreeke | Registered representative | Jan 2024 (3y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Roberts Financial Services, Inc. | Managing Member | Sep 2017 | A | 50% – 75% |
| Mommaerts Mahaney Financial Services, Inc. | Managing Member | Sep 2017 | A | 50% – 75% |
Estimated effective ownership (look-through of filed bands):
- Jon Charles Mommaerts: 75% – 100% of Mommaerts Mahaney Financial Services, Inc. × 50% – 75% direct ≈ 37.5% – 75% of the firm
- Bruce Allan Roberts: 75% – 100% of Roberts Financial Services, Inc. × 50% – 75% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/25/2026 | 922 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Fidelity Brokerage Services $346M (93% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 25, 2026.
View current Form ADV (SEC/IAPD) ↗