Sfi Advisors, LLC (Montclair)

Name: Sfi Advisors, LLC
Address: 79 Midland Ave., Montclair, NJ, 07042
Telephone: 973-744-1014

Sfi Advisors, LLC is a large advisory firm based in Montclair. It manages $142.44 million of regulatory assets for 262 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Florida, Georgia, New Jersey, New York, and Texas.

Sfi Advisors provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and advisory consulting and family office services. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Sfi Advisors: assets under management

The assets under management (AUM) of Sfi Advisors, LLC is $142.44 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 36% since the beginning of its operation, and $425 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $142.44 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $543.68 thousand each.

Investments

The firm invests in investment and business development companies the most. They account for 73% of the total AUM. The second-largest asset type is exchange traded securities, which make up 10% of the firm’s portfolio. Investments in investment grade corporate bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sfi Advisors, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Sfi Advisors serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Sfi Advisors is pension and profit sharing plans with 20 clients and $60.14 million of assets under management. Among the 10 most similar advisory firms, Sfi Advisors has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $142.44 million for 110 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Sfi Advisors doesn't advise any private funds.

Careers at Sfi Advisors, LLC

The company employs 8 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Henry Sampers	Managing member/chief compliance officer	1 Apr 2009	25% - 50%	2439443
Christopher Robert Sampers	Member	1 Apr 2009	25% - 50%	2806315
Peter Elliott Goodman	Member	1 Apr 2009	25% - 50%	1826165

Based in Montclair

The principal office where Sfi Advisors, LLC performs its advisory services is located at 79 Midland Ave., Montclair, NJ 07042, which is also the mailing address of the firm. An additional office of the firm is in Duluth, GA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 973-744-1014 or by fax 973-744-3410. The normal business hours are 8:30 a.m. - 5:30 p.m. on Monday - Friday. You can find more information about the New York firm at sfiadvisors.com/.