SourcingSourcing

THE STRATEGIC FINANCIAL ALLIANCE, INC.

B60
CRD 126514·SEC 801-62226·ATLANTA, GA
AUM
$382.0M
$100M-$500M
Est. Revenue
$3.8M
@ 1% on AUM
Est. EBITDA
$1.1M
@ 30% margin
Est. Deal Value
$9.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
THE STRATEGIC FINANCIAL ALLIANCE, INC.
CRD
126514
SEC file #
801-62226
EIN
842035139
DBA names
The Strategic Financial Alliance

Economics

AUM
$382.0M
AUM band
$100M-$500M
AUM trajectory
'20'26
$501.5M → $382.0M▼ -24%
Client mix
Individuals Other1,330
Individuals High Net Worth127
Corporations6

Operations

Employees (total)
56
Advisory staff (per ADV)
41
Advisory staff (5-yr trend)
'20'26
90 advisors → 41 advisors▼ -54%
Primary office
ATLANTA GA
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers
Fee basis
% of AUMHourly chargesFixed feesCommissions

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
thesfa.net

Compliance

Disclosures (firm)
2
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SFA HOLDINGS, INC.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
9
Control Persons
SFA HOLDINGS, INC.
GOLDSMITH, ARTHUR BERTRAM
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
THESFA.NET
Rdap Domain Creation Date
2003-06-04T20:22:28Z
Rdap Firm Age Years
23
Rdap Firm Age Band
20+y
Rdap Registrar
Register.com - Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001798913
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2020-01-08
Edgar Last Filing Date
2020-01-08
Edgar Form D Count
1
Edgar Form D Offerings
2020-01-082020-01-08 · 0001798913-20-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
50
Bc Firm Active IA Count
35
Bc Firm IAR Count
50
Custodian Candidates
Full
Pershing4
E*trade4
Edgar Addresses
Mailing
2015 3RD AVENUE NBIRMINGHAM, AL 35203
Business
2015 3RD AVENUE NBIRMINGHAM, AL 35203
Edgar EIN
842035139
Edgar Recent Filings
D2020-01-08 · 0001798913-20-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-06-04T20:22:28Z
Rdap Domain Last Changed
2026-05-05T06:49:08Z
Rdap Nameservers
Dns101.register.comDns102.register.com
Rdap Secure Dns Enabled
No
Rdap Status
Active
Trust Company Affiliate
No

People (54)

54
SLOVIN, CLIVE
IAR · Executive Officer · 2.5%
1101301
COPELAND, JOSEPH KILLINGSWORTH
IAR · Executive Officer · 2.5%
6847982
GOLDSMITH, ARTHUR BERTRAM
IAR · Executive Officer · 2.5%
706059
SULLIVAN, JULIE ANN
IAR · Executive Officer · 2.5%
1112088
Veronica Ray Harrell
Executive Officer · 2.5%
5898449
Deaderick K Jones
Executive Officer · 2.5%
3029947
Anna Elise Tatum
Executive Officer · 2.5%
7273094
DAVID SCHROLL
Executive Officer · 2.5%
5055067
MICHAEL REED STEVENS
IAR
4043143
LORI POCOCK ALLISON
IAR
4006962
DAVID COMINGS WHITMORE
IAR
4644356
ANDREW MARION CRANE
IAR
5087357
JOHN TERENCE DUNN
IAR
2448503
CHRISTINE MARIE MURPHY
IAR
2347373
AMY SMITH RUBIN
IAR
1615570
SARAH BAKER MURPHY
IAR
2007499
MICHAEL ALAN SPIELER
IAR
5246976
KATHRYN POCOCK GUSTAFSON
IAR
2926226
MARK ALAN KEEN
IAR
3178657
ERIC CLARK BESECKER
IAR
2084604
SOLOMON, NEAL, JAY
IAR
1251922
LEWIS, LINDA, PEREZ
IAR
2774348
LISA RENE HART
IAR
2637770
TAYLOR C WILLSON
IAR
5468257
Gregory T Grillo
IAR
2860157
ERICA DUMPEL
IAR
831035
DAVID PAUL KAPCHINSKE
IAR
2110320
BLACK, ROBERT, GERALD
IAR
2259459
THOMAS RAY BECK
IAR
2613804
Elizabeth Janice White
IAR
6894116
SEAN MICHAEL CRAFT
IAR
5295163
BRETT E. DYSART
IAR
5629988
JASON MARSHALL HARRIS
IAR
6401950
Randy Scott Gold
IAR
6952957
JEFFREY DEAN MCCLENNING
IAR
4977720
KELSEY MARIE OLTMANS
IAR
5158365
TRAVIS IWAO NAKAMURA
IAR
3230593
Daniel Thomas Bader
IAR
6563038
Inman Porter
IAR
6109075
LEWIS JAMES WALKER
IAR
822190
GEOFFREY TRUE BRYANT
IAR
6084300
GECKELER, PETER, LEWIS
IAR
6294851
ALAN ANTHONY ANDERSON
IAR
5436043
JAMES CHARLES CRONE
IAR
2434896
DARYL OKKEN
IAR
5752642
NATHAN ANDREW OLTMANS
IAR
5421975
HORLACHER, CHRISTY, LEE
IAR
6068460
ST. JOHN, CHRISTOPHER, DAVID
IAR
4357665
TAMMY LYN SARTAIN
IAR
5980032
CHARLES CALVIN BAKER
IAR
3180609
LOWERY, MATTHEW, RADCLIFF
IAR
5141483
Nicholas Hale Stevens
IAR
8133208
PATRICIA ANNE KOEHN
IAR
708274
LEWIS, DOUGLAS, JOEL
IAR
722087