{ "crd_number": 287929, "slug": "sfi-advisors-llc-montclair-nj-287929", "primary_business_name": "SFI ADVISORS, LLC", "legal_name": "SFI ADVISORS, LLC", "dbas": [], "city": "Montclair", "state": "NJ", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2017-04-11", "years_registered": 9, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 176000000.0, "raum_discretionary": 176000000.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 12, "advisory_employees": 6, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 82000000.0, "count": 272 }, "high_net_worth_individuals": { "raum": 94000000.0, "count": 32 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "other", "pension_consulting", "portfolio_management_individuals" ], "wrap_fee_participant": true, "disclosure_yes_count": 0, "states_registered": [ "FL", "GA", "IL", "LA", "NH", "NJ", "NY", "TX" ], "websites": [ "https://facebook.com/SFIAdvisors", "https://linkedin.com/company/sfiadvisors/about", "https://sfiadvisors.com", "https://twitter.com/johnsampers11" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/287929", "city_as_filed": "MONTCLAIR", "url": "https://advisorcensus.com/firm/sfi-advisors-llc-montclair-nj-287929", "display_name": "SFI Advisors, LLC", "summary": "SFI Advisors, LLC is an SEC-registered investment advisory firm in Montclair, NJ, registered since 2017, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. SFI Advisors, LLC (CRD 287929): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Pension consulting services", "Other" ], "quick_answers": [ { "q": "How is SFI Advisors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), SFI Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)." }, { "q": "Where is SFI Advisors, LLC located?", "a": "SFI Advisors, LLC's principal office is in Montclair, NJ, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is SFI Advisors, LLC registered with the SEC or a state?", "a": "SFI Advisors, LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 287929." }, { "q": "How much does SFI Advisors, LLC manage?", "a": "SFI Advisors, LLC reports $176,000,000 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)." }, { "q": "How have SFI Advisors, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for SFI Advisors, LLC: Regulatory assets under management: $220,000,000 in the October 2021 data and $176,000,000 in the October 2026 data, down 20%. Total employees: 10 in October 2021 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does SFI Advisors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (272); high net worth individuals (32)." }, { "q": "Which custodians does SFI Advisors, LLC use?", "a": "SFI Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does SFI Advisors, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/287929" }, { "q": "Does SFI Advisors, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 30, 2026 says: \"In general, we require a $25,000 minimum dollar amount to open and maintain an advisory account.\"" }, { "q": "What changed in SFI Advisors, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Added an office in Buford, GA." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 220000000.0, "total_employees": 10, "filing_date": "2021-05-05" }, { "period": "2022-10-01", "regulatory_assets_under_management": 220200000.0, "total_employees": 13, "filing_date": "2022-03-21" }, { "period": "2023-10-01", "regulatory_assets_under_management": 196960000.0, "total_employees": 10, "filing_date": "2023-03-06" }, { "period": "2024-10-01", "regulatory_assets_under_management": 239000000.0, "total_employees": 10, "filing_date": "2024-03-16" }, { "period": "2025-10-01", "regulatory_assets_under_management": 173000000.0, "total_employees": 12, "filing_date": "2025-03-19" }, { "period": "2026-10-01", "regulatory_assets_under_management": 176000000.0, "total_employees": 12, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Added an office in Buford, GA." ] }, { "period": "2026-03-01", "period_label": "March 2026", "notes": [ "No longer lists an office in Buford, GA.", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 30, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$25,000", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: $25,000" ], "quotes": [ "In general, we require a $25,000 minimum dollar amount to open and maintain an advisory account." ] } ], "quotes": [ "In general, we require a $25,000 minimum dollar amount to open and maintain an advisory account." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/sfi-advisors-llc-montclair-nj-287929.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 272, "fewer_than_5": false, "raum": 82000000.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 32, "fewer_than_5": false, "raum": 94000000.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/287929", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }