Hedge Fund Database

SFI ADVISORS, LLC

Adviser information for SFI ADVISORS, LLC last updated from Form ADV on March 16th, 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 New Jersey, United States

Employees

Total Number of Employees 10
Investment Advisory/Research 6
Registered Broker-Dealer Representatives 3
Registered State Investment Advisers 6
Licensed Agents of an Insurance Company 4
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 285 $142.0M
Non-Discretionary 12 $97.0M
Total 297 $239.0M

Clients

Type Number RAUM
Individuals 245 $54.0M
HNW Individuals 40 $88.0M
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 12 $97.0M
Charitable organizations 0 $0
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 0
No. of Financial Planning Clients 51-100

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesADVISORY CONSULTING AND FAMILY OFFICE SERVICES
Compensation % of AUMFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 0
Portfolio Manager to Program Sponsor
ENVESTNET ASSET MANAGEMENT, INC. ENVESTNET PMC

Identifiers

SEC RIA File Number 801-110293
SEC ERA File Number 801-110293
SEC CIK Numbers 1911308
SEC CRD Numbers 287929
Legal Entity Identifier None

Principal Office

79 MIDLAND AVE.
MONTCLAIR
NJ
United States
Monday - Friday, 8:30 A.M. - 5:30 P.M.
Tel: 973-744-1014, Fax: 973-744-3410

Websites

sfiadvisors.com/ www.facebook.com/sfiadvisors/ twitter.com/johnsampers11 www.linkedin.com/company/sfiadvisors/about/

Chief Compliance Officer

JOHN H. SAMPERS
MANAGING MEMBER
79 MIDLAND AVE.
MONTCLAIR
NJ
United States
Tel: 973-744-1014
Fax: 973-744-3410
(Full email address available in API data)

Regulatory Contact

JOEL SCHREIBER
FINANCIAL PLANNING DIRECTOR
79 MIDLAND AVE.
MONTCLAIR
NJ
United States
Tel: 973-744-1014
Fax: 973-744-3410
(Full email address available in API data)

Industry Affiliates

SFI INSURANCE SERVICES INC. Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
SAMPERS, JOHN, HENRY Individual – MANAGING MEMBER/CHIEF COMPLIANCE OFFICER 04/2009 50-75%
SAMPERS, CHRISTOPHER, ROBERT Individual – MEMBER 04/2009 50-75%

No. Employees, Historic

201002020202120222023202420258 on 3/19/20208 on 6/26/20208 on 11/19/202010 on 3/28/202110 on 5/5/202113 on 3/21/202210 on 3/6/202310 on 3/16/2024

RAUM, Historic

300M150M0202020212022202320242025172000000 on 3/19/2020172000000 on 6/26/2020172000000 on 11/19/2020220000000 on 3/28/2021220000000 on 5/5/2021220200000 on 3/21/2022196960000 on 3/6/2023239000000 on 3/16/2024

No. Clients, Historic

3001500202020212022202320242025190 on 3/19/2020190 on 6/26/2020190 on 11/19/2020196 on 3/28/2021196 on 5/5/2021211 on 3/21/2022165 on 3/6/2023297 on 3/16/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABRDN ASIA PACIFIC INCOME FU COM 411K 153K –
ABRDN GLOBAL PREMIER PPTYS F COM SH BEN INT 228K 60K –
ALLIANCEBERNSTEIN GLOBAL HIG COM 187K 18K –
ALLSPRING GLOBAL DIVIDEND OP COM 60K 12K –
AMPLIFY ETF TR ONLIN RETL ETF 4M 74K –
ANGEL OAK FINL STRATEGIES IN COM BEN INT 171K 14K –
APPLE INC COM 6M 28K –
BLACKROCK CORPOR HI YLD FD I COM 102K 11K –
BLACKROCK CR ALLOCATION INCO COM 302K 28K –
BLACKROCK ENHANCED EQUITY DI COM 309K 38K –
BLACKROCK TAX MUNICPAL BD TR SHS 352K 22K –
CARLYLE CREDIT INCOME FUND SHS BEN INT 600K 73K –
CBRE GBL REAL ESTATE INC FD COM 726K 144K –
COHEN & STEERS CLOSED-END OP COM 291K 24K –
CRYO-CELL INTL INC COM 1M 165K –
ETF SER SOLUTIONS US GLB JETS 413K 21K –
EXXON MOBIL CORP COM 238K 2K –
FIDELITY COVINGTON TRUST CLOUD COMPUTNG 4M 163K –
FIDELITY COVINGTON TRUST MSCI CONSM DIS 4M 54K –
FIRST TR ABRDN GBL OPP INCM COM SHS 143K 23K –
FIRST TR EXCH TRD ALPHDX FD EM SML CP ALPH 927K 23K –
FIRST TR EXCH TRD ALPHDX FD DEV MRK EX US 978K 18K –
FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 5M 89K –
FIRST TR EXCHANGE TRADED FD INTL EQUITY OPP 3M 72K –
FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 6M 132K –
FIRST TR EXCHANGE-TRADED FD NY ARCA BIOTECH 4M 25K –
FIRST TR EXCHANGE-TRADED FD NASDQ ARTFCIAL 4M 105K –
FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 5M 25K –
FIRST TR EXCHANGE-TRADED FD NASDQ OIL GAS 3M 91K –
FIRST TR EXCHNG TRADED FD VI EXPANDED TECHNOL 671K 24K –
FLAHERTY & CRUMRINE PFD INCO COM 942K 90K –
FLAHERTY & CRUMRINE PFD SECS COM 155K 11K –
FLEXSHARES TR INT QLTDVDYNAM 338K 12K –
GABELLI CONV & INC SECS FD I COM 877K 240K –
GLOBAL X FDS US INFR DEV ETF 2M 44K –
HIGHLAND OPPORTUNITIES HIGHLAND INCOME 394K 63K –
INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 1M 11K –
INVESCO EXCHANGE TRADED FD T SEMICONDUCTORS 1M 19K –
INVESCO EXCHANGE TRADED FD T DORSEY WRIGHT HE 4M 96K –
INVESCO EXCHANGE TRADED FD T LEISURE AND ENTE 265K 6K –
ISHARES INC MSCI MEXICO ETF 2M 39K –
ISHARES TR MSCI INTL QUALTY 2M 60K –
ISHARES TR LATN AMER 40 ETF 204K 8K –
ISHARES TR ASIA 50 ETF 3M 39K –
ISHARES TR US BR DEL SE ETF 5M 47K –
ISHARES TR US CONSM STAPLES 5M 69K –
ISHARES TR EXPANDED TECH 5M 62K –
J P MORGAN EXCHANGE TRADED F ACTIVE VALUE ETF 6M 96K –
KAYNE ANDERSON ENERGY INFRST COM 391K 38K –
NETFLIX INC COM 448K 664 –
NEUBERGER BERMAN HIGH YIELD COM 138K 18K –
NUVEEN CR STRATEGIES INCOME COM SHS 167K 30K –
PACER FDS TR US CASH COWS 100 3M 54K –
PIMCO CORPORATE & INCOME OPP COM 198K 14K –
PIMCO DYNAMIC INCOME FD SHS 417K 22K –
PIMCO HIGH INCOME FD COM SHS 193K 40K –
PIMCO MUN INCOME FD II COM 428K 50K –
PIMCO MUN INCOME FD III COM 210K 27K –
PROSHARES TR MSCI EAFE DIVD 751K 20K –
RENAISSANCE CAP GREENWICH FD IPO ETF 3M 66K –
SPDR SER TR S&P SEMICNDCTR 5M 20K –
SPDR SER TR S&P TELECOM 4M 54K –
SPDR SER TR AEROSPACE DEF 3M 21K –
SPDR SER TR S&P KENSHO INTLG 1M 35K –
SPDR SER TR HLTH CR EQUIP 3M 41K –
VANGUARD INDEX FDS SML CP GRW ETF 3M 13K –
VIRTUS CONVERTIBLE & INC FD COM 47K 16K –
VIRTUS STONE HBR EMRG MKTS I COM 131K 25K –
WESTERN ASSET HIGH INCOM FD COM 547K 126K –
WESTERN ASSET HIGH YIELD DEF COM 474K 41K –
WESTERN ASSET INVESTMENT GRA COM 560K 46K –
WESTERN ASSET MTG DEFINED OP COM 154K 13K –
WISDOMTREE TR ALTRNTVE INCM FD 252K 14K –
WISDOMTREE TR EM EX ST-OWNED 848K 28K –
WISDOMTREE TR CLOUD COMPUTNG 1M 36K –