SF ADVISORS, LLC
Adviser information for SF ADVISORS, LLC last updated from Form ADV on March 29th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 18 |
|---|---|
| Investment Advisory/Research | 18 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4 | $155.6M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $155.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 4 | $155.6M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $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 | 4 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed feesPHILANTHROPIC SUPPORT |
Identifiers
| SEC RIA File Number | 801-127658 |
|---|---|
| SEC ERA File Number | 801-127658 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 316518 |
| Legal Entity Identifier | None |
Principal Office
TWO ATLANTIC AVENUE5TH FLOOR
BOSTON
MA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 617-939-9900, Fax: None
Chief Compliance Officer
NAVJEET K. BAL
SECRETARY
TWO ATLANTIC AVENUE
5TH FLOOR
BOSTON
MA
United States
Tel:
617-939-9900
N***@****************G
(Full email address available in API data)
Regulatory Contact
IVY BREWER
ASSISTANT GENERAL COUNSEL
1730 RHODE ISLAND AVENUE NW
SUITE 1014
WASHINGTON
DC
United States
Tel:
617-939-9900
I******@****************G
(Full email address available in API data)
Industry Affiliates
| GENERAL PARTNER OF A PRIVATE FUND | Sponsor, GP, manager of pooled investment vehicles |
| SOCIAL FINANCE IMPACT-FIRST, L.P. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CAREER CERTIFICATE FUND TRUST | PRIVATE DEBT FUND | $92.7M | $0.1M | 1 |
| SOCIAL FINANCE IMPACT-FIRST, L.P. | FUND OF FUND | $9.8M | $0.1M | 3 |
| THE DREAMERS GRADUATE EDUCATION FINANCING TRUST 2021 | PRIVATE DEBT FUND | $16.5M | $0.1M | 1 |
| UP FUND, L.P. | Private Equity Fund | $36.5M | $0.1M | 30 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SOCIAL FINANCE, INC. | Domestic Entity | – | SOLE MEMBER, SOCIAL FINANCE IMPACT-FIRST GP, LLC | 04/2023 | > 75% |
| SOCIAL FINANCE, INC. | Domestic Entity | – | SOLE MEMBER, SF ADVISORS, LLC & UP FUND GP, LLC | 07/2019 | > 75% |
| Palandjian, Tracy | Individual | – | PRESIDENT, SF ADVISORS, LLC | 07/2019 | < 5% |
| Bal, Navjeet | Individual | – | SECRETARY, SF ADVISORS, LLC & UP FUND GP, LLC | 12/2023 | < 5% |
| Bal, Navjeet | Individual | – | TREASURER, CAREER CERTIFICATE FUND TRUST | 11/2022 | < 5% |
| EDWARDS, JONATHAN | Individual | – | SECRETARY, CAREER CERTIFICATE FUND TRUST | 11/2022 | < 5% |
| JAMAL, HANNA | Individual | – | AUTHORIZED PERSON, THE DREAMERS GRADUATE EDUCATION FINANCING TRUST 2021 | 08/2021 | < 5% |
| Chen, Andrew | Individual | – | VICE PRESIDENT, UP FUND GP, LLC | 12/2023 | < 5% |
| Palandjian, Tracy | Individual | – | AUTHORIZED PERSON, THE DREAMERS GRADUATE EDUCATION FINANCING TRUST 2021 | 08/2021 | < 5% |
| Bal, Navjeet | Individual | – | AUTHORIZED PERSON, THE DREAMERS GRADUATE EDUCATION FINANCING TRUST 2021 | 08/2021 | < 5% |
| Woods, John | Individual | – | APPROVED OFFICER, CAREER CERTIFICATE FUND TRUST | 11/2022 | < 5% |
| Grossman, Michael | Individual | – | APPROVED OFFICER, CAREER CERTIFICATE FUND TRUST | 11/2022 | < 5% |
| Mansingh, Ayush | Individual | – | APPROVED OFFICER, CAREER CERTIFICATE FUND TRUST | 11/2022 | < 5% |
| Kavoosi, Kia | Individual | – | APPROVED OFFICER, CAREER CERTIFICATE FUND TRUST | 11/2022 | < 5% |
| Bal, Navjeet | Individual | – | CHIEF COMPLIANCE OFFICER, SF ADVISORS, LLC | 03/2023 | < 5% |
| Woods, John | Individual | – | TREASURER, SF ADVISORS, LLC, UP FUND GP, LLC | 12/2023 | < 5% |
| Woods, John | Individual | – | TREASURER, SOCIAL FINANCE IMPACT-FIRST GP, LLC | 04/2023 | < 5% |
| VICINELLI, STEPHEN, GAETANO | Individual | – | VICE PRESIDENT, SOCIAL FINANCE IMPACT-FIRST GP, LLC | 04/2023 | < 5% |
| VICINELLI, STEPHEN, GAETANO | Individual | – | VICE PRESIDENT, SF ADVISORS, LLC | 12/2023 | < 5% |
| HILL, KIRSTEN, AIMEE | Individual | – | PRESIDENT, SOCIAL FINANCE IMPACT-FIRST GP, LLC | 12/2023 | < 5% |
| Bal, Navjeet | Individual | – | SECRETARY, SOCIAL FINANCE IMPACT-FIRST GP, LLC | 04/2023 | < 5% |
| BROOKS, JESSICA, EDDY | Individual | – | VICE PRESIDENT, SF ADVISORS, LLC | 12/2023 | < 5% |
| Davidkin, Riikka, Julia | Individual | – | VICE PRESIDENT, SOCIAL FINANCE IMPACT-FIRST GP, LLC | 04/2023 | < 5% |