Sfam provides portfolio management for individuals and small businesses and portfolio management for institutions.
Sfam reports 514 clients. They include 239 state or municipal government entities, 203 individual clients and 50 high-net-worth individuals. Of its assets, 100.0% ($897M across 961 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $891M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 39% | 7% |
| High-net-worth individuals | 10% | 14% |
| Pension and profit-sharing plans | Fewer than 5 | 1% |
| Charitable organizations | 1% | <1% |
| State or municipal government entities | 46% | 76% |
| Other client typesOther | 3% | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 203 | $62.9M | 7.0% | $310K |
| High-net-worth individuals | 50 | $124M | 13.8% | $2.47M |
| Pension and profit-sharing plans | Fewer than 5 | $12.2M | 1.4% | — |
| Charitable organizations | 7 | $6.22M | 0.7% | $888K |
| State or municipal government entities | 239 | $683M | 76.1% | $2.86M |
| Other | 15 | $8.82M | 1.0% | $588K |
| Total | 514 | $897M | 100% | — |
- Clients
- 203
- Regulatory AUM
- $62.9M
- AUM share
- 7.0%
- Avg. per client
- $310K
- Clients
- 50
- Regulatory AUM
- $124M
- AUM share
- 13.8%
- Avg. per client
- $2.47M
- Clients
- Fewer than 5
- Regulatory AUM
- $12.2M
- AUM share
- 1.4%
- Avg. per client
- —
- Clients
- 7
- Regulatory AUM
- $6.22M
- AUM share
- 0.7%
- Avg. per client
- $888K
- Clients
- 239
- Regulatory AUM
- $683M
- AUM share
- 76.1%
- Avg. per client
- $2.86M
- Clients
- 15
- Regulatory AUM
- $8.82M
- AUM share
- 1.0%
- Avg. per client
- $588K
Total
- Clients
- 514
- Regulatory AUM
- $897M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
Sfam is paid through a percentage of assets under management and fixed fees (other than subscription fees); its fees and minimums are set out in its brochures on the SEC website.
Thomas Sawyer owns 50% to 75% of Sfam. The leadership team of Sfam includes Chief Compliance Officer Thomas Sawyer. It has 6 employees, 4 of them in advisory roles.
Leadership
- Thomas SawyerMember/Chief Compliance Officer
- John FaldutoMember
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
- John Joseph Falduto
- Edward James Lavin
- Thomas Samuel Sawyer
- Jacob Rothwell Walters
Staff
- 6 employees
- 4 in advisory functions
- 4 state-registered reps
- Owns 50% to 75% of Sfam, LLC
Thomas Sawyer
Control person · since August 2007
- Owns 50% to 75% of Sfam, LLC
John Falduto
Control person · since August 2007
Sfam’s regulatory assets fell from $4.24B (March 2021) to $897M (March 2026); clients rose from 377 to 514 and employees fell from 7 to 6.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $897M | 514 | 6 | 1 |
| March 2025 | $732M | 478 | 6 | 1 |
| March 2024 | $952M | 462 | 6 | 1 |
| March 2023 | $786M | 444 | 7 | 1 |
| April 2022 | $4.11B | 415 | 7 | 1 |
| March 2021 | $4.24B | 377 | 7 | 1 |
Besides its headquarters, Sfam has 0 offices, with 1 listed address in Illinois.
Illinois · 1 listed address
- 589 S. York Street, ElmhurstHQ
Contact and registration details
- Legal name
- Sfam, LLC
- Headquarters
- 589 S. York Street, Elmhurst, IL 60126
- Website
- sawyerfalduto.com
- Phone
- 630-941-8560
- SEC file
- 801-68317
- Structure
- Illinois LLC
- Fiscal year end
- December
Sfam uses Charles Schwab ($897M) as custodian for its separately managed accounts. Sfam has custody of $8.63M in client assets for 28 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $897M100%
At year end, Sfam’s separately managed accounts were largely in bonds (46%) and cash (21%). Its reported 13F holdings for the quarter ended 30 June 2026 total $123M across 262 positions; the largest are Vanguard Index Fds (24.3%), iShares TR (12.7%) and iShares TR (11.7%).
What the accounts hold
- Stocks2%
- Funds16%
- Bonds46%
- U.S. government and agency bonds43%
- State and local bonds3%
- Cash21%
- Other15%
- Certificates of deposit15%
Reported 13F holdings
- $123M
- Reported 13F value
- 262
- Positions
- 80.3%
- In the 10 largest
- +13.7%
- Value vs. prior quarter
- Vanguard Index Fds · Large Cap ETF24.3%
- iShares TR · Rusel 2500 ETF12.7%
- iShares TR · Core US Aggbd ET11.7%
- iShares TR · Core Div Grwth9.0%
- SPDR Series Trust · ST Str P500grw8.6%
- Vanguard BD Index Fds · Short Trm Bond6.5%
- Vaneck ETF Trust · Fallen Angel HG2.3%
- Vanguard Index Fds · Growth ETF2.0%
- Vanguard Index Fds · Value ETF1.6%
- iShares TR · Shrt Nat Mun ETF1.5%
Together, the ten largest are 80.3% of reported value.
How many clients does Sfam have?
Sfam has 514 clients and manages $897 million for them, as of March 2026. They include 239 state or municipal government entities, 203 individual clients and 50 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026
What services does Sfam offer?
Sfam provides portfolio management for individuals and small businesses and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Sfam use?
Sfam’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $897M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026
How many financial advisors does Sfam have?
Sfam has 4 investment adviser representatives registered with state securities authorities, out of 6 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Sfam invest in?
At the end of its last fiscal year, Sfam’s separately managed accounts held 43% U.S. government and agency bonds, 21% cash and equivalents, 16% registered funds (mutual funds, ETFs, BDCs), 15% other, 3% state and local bonds and 2% exchange-traded equities. The 15% other category is described as: Certificates of Deposit.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Sfam?
Sfam’s direct owners are Thomas Sawyer (50% to 75%) and John Falduto (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 27 March 2026
How does Sfam get paid?
Sfam is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Sfam?
Sfam’s main office is at 589 S. York Street, Elmhurst, IL 60126. Its phone number is 630-941-8560. Its website is sawyerfalduto.com.