SFI Advisors provides financial planning, portfolio management for individuals and small businesses, and pension consulting. Financial planning was provided to 51–100 clients last fiscal year.
SFI Advisors reports 304 clients. They include 272 individual clients and 32 high-net-worth individuals. Of its assets, 100.0% ($176M across 336 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 89% | 47% |
| High-net-worth individuals | 11% | 53% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 272 | $82M | 46.6% | $301K |
| High-net-worth individuals | 32 | $94M | 53.4% | $2.94M |
| Total | 304 | $176M | 100% | $579K |
- Clients
- 272
- Regulatory AUM
- $82M
- AUM share
- 46.6%
- Avg. per client
- $301K
- Clients
- 32
- Regulatory AUM
- $94M
- AUM share
- 53.4%
- Avg. per client
- $2.94M
Total
- Clients
- 304
- Regulatory AUM
- $176M
- AUM share
- 100%
- Avg. per client
- $579K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
SFI Advisors is paid through a percentage of assets under management and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Corporate Retirement Plan Consulting
- Advisory fees negotiated with the plan sponsor or named fiduciary case by case; no rate stated.
- Financial Planning and Consulting
- A fixed fee generally ranging between $500 and $12,500, negotiable depending on the complexity and scope of the plan.
John Sampers owns 50% to 75% of SFI Advisors. The leadership team of SFI Advisors includes Chief Compliance Officer John Sampers. It has 12 employees, 6 of them in advisory roles.
Leadership
- John SampersManaging Member/Chief Compliance Officer
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
- Andrea Zilli
Staff
- 12 employees
- 6 in advisory functions
- 4 state-registered reps
- 3 broker-dealer reps
- 4 insurance agents
- Owns 50% to 75% of Sfi Advisors, LLC
John Sampers
Control person · since April 2009
SFI Advisors’ regulatory assets fell from $220M (May 2021) to $176M (March 2026); clients rose from 196 to 304 and employees from 10 to 12.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $176M | 304 | 12 | 2 |
| March 2025 | $173M | 295 | 12 | 2 |
| March 2024 | $239M | 297 | 10 | 2 |
| March 2023 | $197M | 165 | 10 | 2 |
| March 2022 | $220M | 211 | 13 | 2 |
| May 2021 | $220M | 196 | 10 | 2 |
Besides its headquarters, SFI Advisors has 1 office, with 2 listed addresses in Georgia and New Jersey.
Georgia · 1 listed address
- 4860 W. Moreno S, Buford
New Jersey · 1 listed address
- 79 Midland Ave., MontclairHQ
Contact and registration details
- Legal name
- Sfi Advisors, LLC
- Headquarters
- 79 Midland Ave., Montclair, NJ 07042
- Website
- sfiadvisors.com
- Phone
- 973-744-1014
- @sfiadvisors
- SEC file
- 801-110293
- Structure
- New Jersey LLC
- Fiscal year end
- December
SFI Advisors uses Charles Schwab ($185M) as custodian for its separately managed accounts. SFI Advisors does not have custody of client assets.
The filed custodian amounts total more than regulatory assets under management. Each amount is shown as filed.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $185M100%
At year end, SFI Advisors’ separately managed accounts were mostly in stocks (91%). Its reported 13F holdings for the quarter ended 30 June 2026 total $116M across 55 positions; the largest are EA Series Trust (8.0%), Apple Inc. (6.9%) and Tidal Trust Iii (5.9%).
What the accounts hold
- Stocks91%
- Bonds5%
- U.S. government and agency bonds4%
- Investment grade corporate bonds1%
- Cash4%
Reported 13F holdings
- $116M
- Reported 13F value
- 55
- Positions
- 46.2%
- In the 10 largest
- +21.7%
- Value vs. prior quarter
- EA Series Trust · Vari PE Cycl ETF8.0%
- Apple Inc.6.9%
- Tidal Trust Iii · Vist Arti IN ETF5.9%
- First TR Exchange-traded FD · Nasdaq Cyb ETF4.1%
- SPDR Series Trust · ST Str Blo 1 ETF4.1%
- First TR Exchange-traded FD · Finls Alphadex3.8%
- iShares TR · S&P 500 Val ETF3.6%
- iShares TR · US BR Del SE ETF3.4%
- Vaneck ETF Trust · Semiconductr ETF3.4%
- SPDR Series Trust · ST Str SP Telco3.2%
Together, the ten largest are 46.2% of reported value.
How many clients does SFI Advisors have?
SFI Advisors has 304 clients and manages $176 million for them, as of March 2026. They include 272 individual clients and 32 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does SFI Advisors offer?
SFI Advisors provides financial planning, portfolio management for individuals and small businesses, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does SFI Advisors use?
SFI Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $185M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026
How many financial advisors does SFI Advisors have?
SFI Advisors has 4 investment adviser representatives registered with state securities authorities, out of 12 employees, and 6 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 4 employees are 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 SFI Advisors invest in?
At the end of its last fiscal year, SFI Advisors’ separately managed accounts held 91% exchange-traded equities, 4% U.S. government and agency bonds, 4% cash and equivalents and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns SFI Advisors?
SFI Advisors’ direct owner is John Sampers (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does SFI Advisors get paid?
SFI Advisors 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
Is SFI Advisors registered with the SEC?
Yes, SFI Advisors has been registered with the SEC as an investment adviser since 11 April 2017. Its CRD number is 287929 and its SEC file number is 801-110293.
Source: Form ADV Part 1A, Item 1, filed 30 March 2026; IAPD firm record
How do I contact SFI Advisors?
SFI Advisors’ main office is at 79 Midland Ave., Montclair, NJ 07042. Its phone number is 973-744-1014. Its website is sfiadvisors.com.