Efinancial Alliance, Llc
- Regulatory AUM
- $292M
- Discretionary
- $292M
- Clients
- 212
- Avg AUM / client
- $1.4M
- Accounts
- 873
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Apr 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 123 | $247M | 84.6% |
| High net worth individuals | 85 | $42.5M | 14.6% |
| Charitable organizations | 4 | $2.3M | 0.78% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Mercy Health Services, Inc. 401(k) Profit Sharing Plan Trust Mercy Health Services, Inc. | 2024 | |
| Jones Bros 401(k) Plan Jones Bros. Contractors, Llc | 2024 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mitchell Kevin Anderson | Managing Member/Chief Compliance Officer | Feb 2012 (15y) | 75% or more | |
| Destin Michael Tompkins | Member | CFA | Dec 2013 (13y) | 25% – 50% |
| Frederick Allan Phillips | Registered representative | CFP | Jan 2024 (3y) | |
| Christian Joseph Barr | Registered representative | Apr 2026 (0y) |
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.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Mercy Health Services, Inc. 401(k) Profit Sharing Plan Trust | Mercy Health Services, Inc. | 125 | $2.5M | 01/01/2024 |
| Jones Bros 401(k) Plan | Jones Bros. Contractors, Llc | 668 | $17.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/16/2026 | 982 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
Custody
Reported custodians
- Charles Schwab & Co. $259M (89% of AUM) Apr 2026
- Shareholders Service Group, Inc. $117M (60% of AUM) Jan 2025
- Truist Financial Corp $32.7M (11% of AUM) Apr 2026
- Altruist Financial $32.7M (11% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Apr 16, 2026.
View current Form ADV (SEC/IAPD) ↗