{"url":"https://nivawealth.com/firms/sfi-advisors-287929","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/287929","regulatoryAum":176000000,"crd":"287929","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1826165","suffix":null,"lastName":"GOODMAN","firstName":"PETER","middleName":"ELLIOTT"},{"crd":"2439443","suffix":null,"lastName":"SAMPERS","firstName":"JOHN","middleName":"HENRY"},{"crd":"4467640","suffix":null,"lastName":"SCHREIBER","firstName":"JOEL","middleName":"ABRAHAM"},{"crd":"5180329","suffix":null,"lastName":"Zilli","firstName":"Andrea","middleName":null}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-05-05","regulatoryAum":220000000,"clients":196,"employees":10,"offices":2},{"filedOn":"2022-03-21","regulatoryAum":220200000,"clients":211,"employees":13,"offices":2},{"filedOn":"2023-03-06","regulatoryAum":196960000,"clients":165,"employees":10,"offices":2},{"filedOn":"2024-03-16","regulatoryAum":239000000,"clients":297,"employees":10,"offices":2},{"filedOn":"2025-03-19","regulatoryAum":173000000,"clients":295,"employees":12,"offices":2},{"filedOn":"2026-03-30","regulatoryAum":176000000,"clients":304,"employees":12,"offices":2}],"secFileNumber":"801-110293","legalName":"Sfi Advisors, LLC","displayName":"SFI Advisors","slug":"sfi-advisors-287929","website":"https://sfiadvisors.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/sfiadvisors/about/","founded":null,"organization":"New Jersey limited liability company","fiscalYearEnd":"December","headquarters":{"street":"79 Midland Ave.","city":"Montclair","state":"NJ","stateName":"New Jersey","country":"United States","postalCode":"07042"},"tradeNames":[],"registration":{"secApproved":"11 April 2017","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":578947.3684210526,"staff":{"employees":12,"advisory":6,"brokerDealerReps":3,"insuranceAgents":4,"promoters":0},"aum":{"regulatory":176000000,"discretionary":176000000,"discretionaryAccounts":336,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":0,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":272,"regulatoryAum":82000000},{"label":"High-net-worth individuals","clients":32,"regulatoryAum":94000000}],"feePrograms":[{"role":"other","program":"Corporate Retirement Plan Consulting","summary":"Advisory fees negotiated with the plan sponsor or named fiduciary case by case; no rate stated.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032879","versionId":1032879,"submittedOn":"2026-03-30","documentName":"SFI ADVISORS, LLC ADV PART 2 BROCHURE"},{"role":"other","program":"Financial Planning and Consulting","summary":"A fixed fee generally ranging between $500 and $12,500, negotiable depending on the complexity and scope of the plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032879","versionId":1032879,"submittedOn":"2026-03-30","documentName":"SFI ADVISORS, LLC ADV PART 2 BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T15:43:51.2971+00:00","documents":[{"name":"SFI ADVISORS, LLC ADV PART 2 BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032879","versionId":1032879,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":185000000}],"custodyNote":"SFI Advisors does not have custody of client assets.","leadership":[{"name":"John Sampers","title":"Managing Member/Chief Compliance Officer","crd":"2439443"}],"ownership":[{"label":"John Sampers","detail":"Managing member/chief compliance officer in the 50% to 75% ownership band and a control person, since April 2009."}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Georgia","offices":1,"addresses":[{"street":"4860 W. 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does SFI Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does SFI Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does SFI Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does SFI Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns SFI Advisors?","answer":"SFI Advisors’ direct owner is John Sampers (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does SFI Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is SFI Advisors registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact SFI Advisors?","answer":"SFI Advisors’ main office is at 79 Midland Ave., Montclair, NJ 07042. Its phone number is 973-744-1014. 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}