The Strategic Financial Alliance, Inc. (Atlanta)

Name: The Strategic Financial Alliance, Inc.
Address: 2200 Century Parkway, Atlanta, GA, 30345
Telephone: 678-954-4000

The Strategic Financial Alliance, Inc. is a large advisory firm based in Atlanta. It manages $501.48 million of regulatory assets for 2,548 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

The Strategic Financial Alliance provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, and educational seminars and workshops. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

The Strategic Financial Alliance: assets under management

The assets under management (AUM) of The Strategic Financial Alliance, Inc. is $501.48 million. The firm's AUM has grown by 52% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $88.13 million in discretionary accounts and $413.36 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $225.96 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $191.55 thousand.

The Strategic Financial Alliance has custody of $45.35 million in cash and securities for 209 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 46% of the total AUM. The second-largest asset type is investment and business development companies, which make up 41% of the firm’s portfolio. Investments in cash and cash equivalents form 9% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Strategic Financial Alliance, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients The Strategic Financial Alliance serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of The Strategic Financial Alliance is individuals with 2,292 clients and $398.62 million of assets under management. Among the 8 most similar advisory firms, The Strategic Financial Alliance has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $501.48 million for 2,548 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

The Strategic Financial Alliance doesn't advise any private funds.

Careers at The Strategic Financial Alliance, Inc.

The company employs 114 people that are either part- or full-time employees. 79 percent of the employees work as investment advisers or researchers. 114 employees are registered as investment adviser representatives with the state securities authorities.

There are 5 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Clive Slovin	President; finop, director	1 Feb 2003	Other	1101301
Inc. Sfa Holdings	Shareholder	1 Feb 2003	75% - 100%	57-1155068
Inc. Reliance Advisory Holdings	Shareholder	1 Feb 2003	75% - 100%	57-1155068
Arthur Bertram Goldsmith	Svp	1 May 2003	Other	706059
Edward Barnett Woll	Compliance officer, srop/crop	1 Aug 2003	Other	1096606
Shayna Janella Kennedy	Chief compliance officer, srop/crop	1 Dec 2010	Other	4609753
Shayna Janella Marshall	Chief compliance officer, srop/crop	1 Dec 2010	Other	4609753
Julie Ann Sullivan	Chief compliance officer	1 Jul 2013	Other	1112088
Laree L Holloway	Finop, vice president	1 Oct 2015	Other	1365566
Chester Carlton Payne	Svp, chief operating officer	1 Dec 2015	Other	4782341
Edward Barnett Woll	Vice president	1 Sep 2016	Other	1096606
Jean M Merriman	Vice president, due diligence & product management	1 Jan 2018	Other	2449646
Joseph Killingsworth Copeland	Vice president, information systems & technology	1 Jan 2018	Other	6847982
Alexander James Sywak	Vice president, supervision	1 Jan 2018	Other	1937609

Indirect Owners

The SEC currently registers 7 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Anthony Alan Guthrie	Partner	1 Apr 2003	25% - 50%	2614043
James T Maxwell	Partner	1 Apr 2003	25% - 50%	xxx-xx-xxxx
Kenneth Joyner Phelps	Partner	1 Apr 2003	25% - 50%	1487018
James Thomas Maxwell	Partner	1 Apr 2003	25% - 50%	xxx-xx-xxxx
Rfc Investment Partners Ii	Shareholder	1 Dec 2004	50% - 75%	58-2622147
Michael Joseph Flinn	Shareholder	1 Apr 2007	50% - 75%	xxx-xx-xxxx
Llc Fgm	Partner	1 Apr 2007	75% - 100%	20-8638884

Based in Atlanta

The principal office where The Strategic Financial Alliance, Inc. performs its advisory services is located at 2200 Century Parkway, Atlanta, GA 30345, which is also the mailing address of the firm. An additional office of the firm is in Raleigh, NC. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 678-954-4000 or by fax 678-954-4001. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at thesfa.net.