SFC FINANCIAL LLC
Adviser information for SFC FINANCIAL LLC last updated from Form ADV on March 5th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Missouri, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 212 | $162.2M |
| Total | 212 | $162.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 43 | $11.8M |
| HNW Individuals | 25 | $150.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $294,152 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-107167 |
|---|---|
| SEC ERA File Number | 801-107167 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 129817 |
| Legal Entity Identifier | None |
Principal Office
3890 S. LINDBERGH BLVDSUITE 200
SUNSET HILLS
MO
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 314-842-2001, Fax: 314-842-3303
Websites
Chief Compliance Officer
KENNETH A. COPLEN
MEMBER & MANAGER
3890 S. LINDBERGH BLVD.
SUITE 200
SUNSET HILLS
MO
United States
Tel:
314-842-2001
Fax:
314-842-3303
K******@************M
(Full email address available in API data)
Industry Affiliates
| SWINK COPLEN & COMPANY, P.C. | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COPLEN, KENNETH, ALLEN | Individual | – | MEMBER, MANAGER & CHIEF COMPLIANCE OFFICER | 11/2003 | 50-75% |
| POTTER, JACOB, VICTOR | Individual | – | MEMBER | 08/2017 | 25-50% |
| RUSSO, KIMBERLY, DIANE | Individual | – | MEMBER | 08/2019 | 10-25% |