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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SFC FINANCIAL LLC

CRD 129817

SUNSET HILLS, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9b54a592-f903-e997-a251-e49974184ef2

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Mar 6, 2012 to Mar 25, 2026
23 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $208MItem 5.F on the latest filing (2026-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $208MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $52.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 251
Individual clients: 37
High net worth clients: 40
Custody, client assets: $4.8M
SEC number: 801-107167
CRD: 129817
Filings on the tape: 23
First filed: Mar 6, 2012
Latest filed: Mar 25, 2026
Organised: Limited Liability Company, MO
Website: sfcfin.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
KENNETH ALLEN COPLEN	Personal Financial Specialist	ST. LOUIS, MO	22	37	1	no
SHARON CATHLEEN STANTON	n/a	ST. LOUIS, MO	17	21	n/a	no
JACOB VICTOR POTTER	n/a	ST. LOUIS, MO	4	27	n/a	no
Walter Allen Klein	n/a	SUNSET HILLS, MO	1	11	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
COPLEN, KENNETH, ALLEN	MEMBER, MANAGER & CHIEF COMPLIANCE OFFICER	D	yes	11/2003	Mar 6, 2012	Mar 5, 2024
POTTER, JACOB, VICTOR	Member	C	yes	08/2017	Aug 28, 2017	Mar 5, 2024
RUSSO, KIMBERLY, DIANE	Member	B	no	08/2019	Sep 27, 2019	Mar 5, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SWINK COPLEN & COMPANY, P.C.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026	$208M	$0	4	2	0	n/a	n/a
2024	Feb 28, 2025	$181M	$0	4	2	0	n/a	n/a
2023	Mar 1, 2024	$162M	$0	4	1	0	n/a	n/a
2022	Mar 23, 2023	$220M	$0	4	1	0	n/a	n/a
2021	Mar 29, 2022	$221M	$0	4	1	0	n/a	n/a
2020	Mar 30, 2021	$183M	$0	4	1	0	n/a	n/a
2019	Mar 25, 2020	$159M	$0	5	2	0	n/a	n/a
2018	Mar 27, 2019	$144M	$0	6	3	0	n/a	n/a
2017	Mar 25, 2018	$114M	$0	2	1	0	n/a	n/a
2016	Mar 29, 2017	$104M	$0	2	1	n/a	n/a	n/a
2011	Mar 6, 2012	$68.5M	$0	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$208M	$181M	15.2%	$220M	-1.7%	4	4	0	0

Relationships

Registered with (5)

← Walter Allen KleinAdvisorregistration: current employment
Feb 3, 2025 to presentfactForm ADV
← JACOB VICTOR POTTERAdvisorregistration: current employment
Dec 13, 2021 to presentfactForm ADV
← SHARON CATHLEEN STANTONAdvisorregistration: current employment
May 12, 2009 to presentfactForm ADV
← KENNETH ALLEN COPLENAdvisorregistration: current employment
Dec 19, 2003 to presentfactForm ADV
← JAMES CURTIS CURRANAdvisorregistration: previous registration
Jun 19, 2018 to Sep 3, 2019factForm ADV

Controls (2)

← COPLEN, KENNETH, ALLENOwnerMEMBER, MANAGER & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 6, 2012 to Mar 5, 2024factForm ADV
← POTTER, JACOB, VICTOROwnerMEMBER, ownership code C, individual
Aug 28, 2017 to Mar 5, 2024factForm ADV

Owns (1)

← RUSSO, KIMBERLY, DIANEOwnerMEMBER, ownership code B, individual
Sep 27, 2019 to Mar 5, 2024factForm ADV

Dated events

Occurred
Mar 30, 2021
Control person left
Wade Earl Swink (Member & Manager) no longer on Schedule A of Sfc Financial Llc (listed 2020-06-30, absent 2021-03-30)
Form ADVobserved 4 days ago
Occurred
Sep 27, 2019
Control person left
Patrick David Smith (Member) no longer on Schedule A of Sfc Financial Llc (listed 2019-03-27, absent 2019-09-27)
Form ADVobserved 4 days ago
Occurred
Jan 11, 2016
First Form ADV filing
Sfc Financial Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9b54a592-f903-e997-a251-e49974184ef2
First observed: Mar 6, 2012
Last observed: Mar 25, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SFC FINANCIAL LLC

CRD 129817

SUNSET HILLS, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9b54a592-f903-e997-a251-e49974184ef2

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:36 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KENNETH ALLEN COPLEN

Personal Financial Specialist

ST. LOUIS, MO

SHARON CATHLEEN STANTON

n/a

ST. LOUIS, MO

n/a

JACOB VICTOR POTTER

n/a

ST. LOUIS, MO

n/a

Walter Allen Klein

n/a

SUNSET HILLS, MO

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COPLEN, KENNETH, ALLEN

MEMBER, MANAGER & CHIEF COMPLIANCE OFFICER

yes

11/2003

Mar 6, 2012

Mar 5, 2024

POTTER, JACOB, VICTOR

Member

yes

08/2017

Aug 28, 2017

Mar 5, 2024

RUSSO, KIMBERLY, DIANE

Member

08/2019

Sep 27, 2019

Mar 5, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SWINK COPLEN & COMPANY, P.C.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 25, 2026

$208M

n/a

2024

Feb 28, 2025

$181M

n/a

2023

Mar 1, 2024

$162M

n/a

2022

Mar 23, 2023

$220M

n/a

2021

Mar 29, 2022

$221M

n/a

2020

Mar 30, 2021

$183M

n/a

2019

Mar 25, 2020

$159M

n/a

2018

Mar 27, 2019

$144M

n/a

2017

Mar 25, 2018

$114M

n/a

2016

Mar 29, 2017

$104M

n/a

2011

Mar 6, 2012

$68.5M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$208M

$181M

15.2%

$220M

-1.7%