S&A FINANCIAL SERVICES, INC.
Adviser information for S&A FINANCIAL SERVICES, INC. last updated from Form ADV on February 28th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Kansas, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| 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 | 1,568 | $289.0M |
| Non-Discretionary | 14 | $21.6M |
| Total | 1,582 | $310.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 958 | $176.1M |
| HNW Individuals | 63 | $105.2M |
| 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 | 14 | $21.6M |
| 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 | 13 | $7.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 318 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-57170 |
|---|---|
| SEC ERA File Number | 801-57170 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110471 |
| Legal Entity Identifier | None |
Principal Office
8655 COLLEGE BLVD., SUITE 100OVERLAND PARK
KS
United States
Monday - Friday, 8:30 - 5:00
Tel: 913-362-2712, Fax: 913-362-2799
Chief Compliance Officer
GREGORY SHEPARD
8655 COLLEGE BLVD
OVERLAND PARK
KS
United States
Tel:
913-362-2712
Fax:
913-362-2799
G***@*******************M
(Full email address available in API data)
Regulatory Contact
F. CURTIS SHEPARD
PRESIDENT
8655 COLLEGE BLVD.
OVERLAND PARK
KS
United States
Tel:
913-362-2712
Fax:
913-362-2799
C*****@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHEPARD, FRANK, CURTIS | Individual | – | PRESIDENT | 01/2004 | > 75% |
| SHEPARD, GREGORY, CURTIS | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |