The Strategic Financial Alliance, Inc.
SEC-registered
Broker-Dealer (Dually Registered) · Small ($100M–$1B)
CRD 126514
· SEC file 801-62226
· Atlanta, GA
· sfapartners.net
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $382M
- Discretionary
- $27.0M
- Clients
- 1,463
- Avg AUM / client
- $261K
- Accounts
- 1,022
- Employees
- 56
AUM over time
$272M
$854M
Mar 30, 2012
Mar 31, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,330 | $222M | 58.0% |
| High net worth individuals | 127 | $154M | 40.4% |
| Corporations and other businesses | 6 | $5.9M | 1.54% |
People (62)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Clive Slovin | Director | Feb 2003 (24y) | Less than 5% | |
| Goldsmith, Arthur Bertram | Svp | May 2003 (23y) | Less than 5% | |
| Joseph Killingsworth Copeland | Vice President, Information Systems & Technology | Jan 2018 (9y) | Less than 5% | |
| Sywak, Alexander James | Vice President, Supervision | Jan 2018 (9y) | Less than 5% | |
| Woll, Edward Barnett | Vice President, Cco | Dec 2018 (8y) | Less than 5% | |
| Julie Ann Sullivan | President, Director | Jul 2022 (4y) | Less than 5% | |
| Tatum, Anna Elise | Cfo | May 2024 (2y) | Less than 5% | |
| William Marcus Henn | Registered representative | CFP | Oct 2003 (23y) | |
| John Terence Dunn | Registered representative | CFP | Oct 2003 (23y) | |
| Stephen Patrick Oneil | Registered representative | Nov 2003 (23y) | ||
| Patricia Anne Koehn | Registered representative | Nov 2003 (23y) | ||
| Ronald William Murphy | Registered representative | Chartered Financial Consultant | Jan 2004 (23y) | |
| Christopher David St. John | Registered representative | CFP Chartered Financial Consultant | Mar 2004 (22y) | |
| David Paul Kapchinske | Registered representative | Aug 2004 (22y) | ||
| Jeffrey Dean Mcclenning | Registered representative | CFP | Sep 2005 (21y) | |
| Joe Land Pearce | Registered representative | Jan 2006 (21y) | ||
| Michael Alan Spieler | Registered representative | Dec 2006 (20y) | ||
| Mark Alan Keen | Registered representative | CFP | Jan 2007 (20y) | |
| Brian Richard Bennett | Registered representative | Mar 2007 (19y) | ||
| Andrew Marion Crane | Registered representative | Dec 2007 (19y) | ||
| Travis Iwao Nakamura | Registered representative | Feb 2009 (17y) | ||
| Lewis James Walker | Registered representative | Mar 2009 (17y) | ||
| Roberta Lee Driscoll | Registered representative | Apr 2009 (17y) | ||
| William Blaine Bowers | Registered representative | CFP | Jul 2010 (16y) | |
| Glenn Norman Keen | Registered representative | CFP | May 2011 (15y) | |
| Andrea Lynn Albu | Registered representative | Apr 2012 (14y) | ||
| Kathryn Pocock Gustafson | Registered representative | Apr 2012 (14y) | ||
| Lori Pocock Allison | Registered representative | CFP | Apr 2012 (14y) | |
| Michael Reed Stevens | Registered representative | Apr 2012 (14y) | ||
| Christy Lee Horlacher | Registered representative | CFP Chartered Financial Consultant | Oct 2013 (13y) | |
| Cheryl Lyn Knight | Registered representative | Jan 2014 (13y) | ||
| Kevin James Murphy | Registered representative | CFP | Mar 2014 (12y) | |
| Moiz Husain | Registered representative | Apr 2014 (12y) | ||
| Matthew Radcliff Lowery | Registered representative | CFP Personal Financial Specialist CFA | Jul 2014 (12y) | |
| Franklin Travis Reynolds | Registered representative | Jan 2015 (12y) | ||
| Paul Arthur Pollatz | Registered representative | Jan 2015 (12y) | ||
| Amy Noelle Conley | Registered representative | May 2016 (10y) | ||
| Sherry Wyble Campbell | Registered representative | CFP | May 2016 (10y) | |
| Alan Anthony Anderson | Registered representative | CFP | Jul 2016 (10y) | |
| Amy Smith Rubin | Registered representative | Jul 2016 (10y) | ||
| Sharon H Budnik | Registered representative | Jul 2016 (10y) | ||
| Veronica Ray Harrell | Registered representative | Jan 2017 (10y) | ||
| Kevin Bartel | Registered representative | Apr 2017 (9y) | ||
| Richard William Gailey | Registered representative | CFP Chartered Financial Consultant | Mar 2018 (8y) | |
| Paul David Stelter | Registered representative | Apr 2018 (8y) | ||
| David Schroll | Registered representative | Apr 2022 (4y) | ||
| Matthew Mayer | Registered representative | Jul 2022 (4y) | ||
| David William Trende | Registered representative | Oct 2022 (4y) | ||
| Brent Bruce Jamison | Registered representative | Dec 2022 (4y) | ||
| Michael David Roberts | Registered representative | Apr 2023 (3y) | ||
| Richard Park | Registered representative | Jan 2024 (3y) | ||
| Jason Shutts | Registered representative | Jan 2024 (3y) | ||
| Courtney Finkle | Registered representative | Oct 2024 (2y) | ||
| Kelvin Sun Ming Lau | Registered representative | CFP | Jan 2025 (2y) | |
| Mel Robert Hertz | Registered representative | Jan 2025 (2y) | ||
| Nancy Marie Corrigan | Registered representative | CFA | Jan 2025 (2y) | |
| Taylor C Willson | Registered representative | Jan 2025 (2y) | ||
| Deaderick K Jones | Registered representative | Apr 2025 (1y) | ||
| Roland Quast | Registered representative | Apr 2025 (1y) | ||
| Charles Alexander Wiggins | Registered representative | May 2025 (1y) | ||
| Julius Steven Hutchinson | Registered representative | Oct 2025 (1y) | ||
| Andrew Aumann | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Sfa Holdings, Inc. | Shareholder | Feb 2003 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 03/31/2026 | 1.8 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.E(2)
as of May 21, 2024
Allegations: FINRA ALLEGES THAT BETWEEN 11/01/2011 AND 12/09/2014 FIRM HAD NO SUPERVISORY PROCEDURES ADDRESSING THE USE AND SUPERVISION OF CONSOLIDATED REPORTS; FIRM INADEQUATELY ADDRESSED VERIFICATION OF VALUATION INFORMATION; FIRM DID NOT MAINTAIN DOCUMENTATION DEMONSTRATING PROPER REVIEW AND MAINTENANCE OF CONSOLIDATED REPORTS; AND, IN SOME INSTANCES, CONSOLIDATED REPORTS INCLUDED INADEQUATE OR NO DISCLOSURE LANGUAGE. Status: Final Sanction Detail: PAYMENT OF FINE REMITTED 10/30/2015.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Pershing $70.7M (19% 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 31, 2026.
View current Form ADV (SEC/IAPD) ↗