Sfc Financial LLC (St. Louis)

Sfc Financial LLC is a large advisory firm based in St. Louis. It manages $143.73 million of regulatory assets for 175 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Illinois and Missouri.

Sfc Financial provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Sfc Financial: assets under management

The assets under management (AUM) of Sfc Financial LLC is $143.73 million. The company doesn't manage any assets belonging to foreign clients.

Investments

The firm invests in exchange traded securities the most. They account for 67% of the total AUM. The second-largest asset type is investment and business development companies, which make up 29% of the firm’s portfolio. Investments in government bonds form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sfc Financial LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Sfc Financial serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Sfc Financial is high net worth individuals with 31 clients and $136.78 million of assets under management. Among the 9 most similar advisory firms, Sfc Financial has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $143.73 million for 57 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Sfc Financial doesn't advise any private funds.

Careers at Sfc Financial LLC

The company employs 6 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 3 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
Kenneth Allen Coplen	Member, manager & chief compliance officer	1 Nov 2003	Other	1705966
Earl Wade Swink	Member & manager	1 Nov 2003	50% - 75%	2745683
Richard A Burwitz	Member	1 Nov 2003	Other	4739234
Richard Andrew Burwitz	Member	1 Nov 2003	Other	4739234
Steve Francis Schueppert	Member	1 Jan 2006	Other	5317519
David Patrick Smith	Member	1 Aug 2017	25% - 50%	4718057
Jacob Victor Potter	Member	1 Aug 2017	Other	6850874
Kimberly Diane Russo	Member	1 Aug 2019	Other	4743623

Based in St. Louis

The principal office where Sfc Financial LLC performs its advisory services is located at 3890 S. Lindbergh Blvd, St. Louis, MO 63127 1391, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 314-842-2001 or by fax 314-842-3303. The normal business hours are 8:30am - 5:00pm on Monday - Friday.