DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Sfi Advisors, LLC
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2017 · 18 filings
SEC status approved since Apr 11, 2017
RAUM
$176M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$176M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$44.0M
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$176M as of Mar 30, 2026
Jun 7, 2018$135M then
HNW client RAUM$94.0M as of Mar 30, 2026
Jun 7, 2018$41.0M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Jun 7, 20185 then
Employees (5.A)12 as of Mar 30, 2026
Jun 7, 20188 then
Private funds: no history
RAUM +1.7% over the last fiscal year-3.7% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $44.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $523,810derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$94.0M53%
- Individuals$82.0M47%
- Individual clients
- 272reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 336reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Henry Sampers | Montclair, Nj | May 12, 2017 | 32 y | 2 |
| Joel Abraham SchreiberCertified Financial Planner | Montclair, Nj | May 22, 2017 | 24 y | 3 |
| Peter Elliott GoodmanChartered Financial Consultant | Montclair, Nj | May 23, 2017 | 38 y | 2 |
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 75% of current headcount3 left over 36 months
Left, latest
- Garrett Austin Futch to Cambridge Investment Research Advisors, Inc.Feb 19, 2026 · RIA to affiliated broker-dealer or bank
- Christopher Robert Sampers to Cambridge Investment Research Advisors, Inc.Feb 19, 2026 · RIA to affiliated broker-dealer or bank
- Connor Tarleton to Cambridge Investment Research Advisors, Inc.Feb 19, 2026 · RIA to affiliated broker-dealer or bank
- Gregory Lewis Klar to MarinerSep 22, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- Andrea Zilli from Cerity Partners LLCApr 24, 2025 · RIA to RIA
- Gregory Lewis Klar from Advice And Planning ServicesJan 25, 2022 · Affiliated broker-dealer or bank to independent RIA
- Peter Elliott Goodman from Kestra Advisory Services, LLCMay 23, 2017 · Other
- Christopher Robert Sampers from Kestra Advisory Services, LLCMay 23, 2017 · Other
- Joel Abraham Schreiber from Kestra Advisory Services, LLCMay 22, 2017 · Other
- John Henry Sampers from Kestra Advisory Services, LLCMay 12, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Cambridge Investment Research Advisors, Inc.Feb 19, 2026 · Montclair, Nj
- 3 joined from Kestra Advisory Services, LLCMay 11, 2017 · Montclair, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert Christopher Sampers · Membercontrolsince 04/2009 · owns 50% to 75%
- Henry John Sampers · Managing Member/Chief Compliance Officercontrolsince 04/2009 · owns 50% to 75%
Related persons
Schedule D 7.A
- Sfi Insurance Services Inc.real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Montclair, Nj · principal | 4 | 0 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Buford, GA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 30, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-03-19 and 2026-03-30; the peer median change was 0.0% (965 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 4.1% percentile
What changed
consecutive filings, newest first
- Accounts · 301 to 336Feb 19, 2026 to Mar 30, 2026
- HNW clients · 35 to 32Feb 19, 2026 to Mar 30, 2026
- Individual clients · 260 to 272Feb 19, 2026 to Mar 30, 2026
- State-registered IARs · 6 to 4Feb 19, 2026 to Mar 30, 2026
- Other offices · 0 to 1Feb 19, 2026 to Mar 30, 2026
- Discretionary RAUM · $173M to $176MFeb 19, 2026 to Mar 30, 2026
- HNW RAUM · $102M to $94.0MFeb 19, 2026 to Mar 30, 2026
- Individual RAUM · $71.0M to $82.0MFeb 19, 2026 to Mar 30, 2026
- RAUM · $173M to $176MFeb 19, 2026 to Mar 30, 2026
- Other offices · 1 to 0Mar 19, 2025 to Feb 19, 2026
- Employees · 10 to 12Mar 16, 2024 to Mar 19, 2025
- Accounts · 297 to 301Mar 16, 2024 to Mar 19, 2025
- HNW clients · 40 to 35Mar 16, 2024 to Mar 19, 2025
- Individual clients · 245 to 260Mar 16, 2024 to Mar 19, 2025
- Pension plan clients · 12.0 to unsetMar 16, 2024 to Mar 19, 2025
- Financial planning clients · 51-100 to 51-100Mar 16, 2024 to Mar 19, 2025
- Discretionary RAUM · $142M to $173MMar 16, 2024 to Mar 19, 2025
- HNW RAUM · $88.0M to $102MMar 16, 2024 to Mar 19, 2025
- Individual RAUM · $54.0M to $71.0MMar 16, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $97.0M to $0Mar 16, 2024 to Mar 19, 2025
- Pension RAUM · 97000000.0 to unsetMar 16, 2024 to Mar 19, 2025
- RAUM · $239M to $173MMar 16, 2024 to Mar 19, 2025
- Accounts · 335 to 297Mar 6, 2023 to Mar 16, 2024
- HNW clients · 30 to 40Mar 6, 2023 to Mar 16, 2024
- Individual clients · 122 to 245Mar 6, 2023 to Mar 16, 2024
- Pension plan clients · 13 to 12Mar 6, 2023 to Mar 16, 2024
- Discretionary RAUM · $117M to $142MMar 6, 2023 to Mar 16, 2024
- HNW RAUM · $74.0M to $88.0MMar 6, 2023 to Mar 16, 2024
- Individual RAUM · $43.0M to $54.0MMar 6, 2023 to Mar 16, 2024
- Non-discretionary RAUM · $80.0M to $97.0MMar 6, 2023 to Mar 16, 2024
- Pension RAUM · $80.0M to $97.0MMar 6, 2023 to Mar 16, 2024
- RAUM · $197M to $239MMar 6, 2023 to Mar 16, 2024
- Accounts · 344 to 335Mar 21, 2022 to Mar 6, 2023
- HNW clients · 19 to 30Mar 21, 2022 to Mar 6, 2023
- Individual clients · 179 to 122Mar 21, 2022 to Mar 6, 2023
- Pension plan clients · 12 to 13Mar 21, 2022 to Mar 6, 2023
- Employees · 13 to 10Mar 21, 2022 to Mar 6, 2023
- Discretionary RAUM · $127M to $117MMar 21, 2022 to Mar 6, 2023
- HNW RAUM · $76.0M to $74.0MMar 21, 2022 to Mar 6, 2023
- Individual RAUM · $49.1M to $43.0MMar 21, 2022 to Mar 6, 2023
Signals
7 dated events
- Christopher Robert Sampers left Sfi Advisors, Llc for Cambridge Investment Research Advisors, Inc. (registered 2026-01-02)Feb 19, 2026 · Advisor changed firm · fact
- Connor Tarleton left Sfi Advisors, Llc for Cambridge Investment Research Advisors, Inc. (registered 2026-01-12)Feb 19, 2026 · Advisor changed firm · fact
- Garrett Austin Futch left Sfi Advisors, Llc for Cambridge Investment Research Advisors, Inc. (registered 2026-01-05)Feb 19, 2026 · Advisor changed firm · fact
- 3 advisors left Sfi Advisors, LLC (Montclair, NJ) for Cambridge Investment Research Advisors, Inc. on the same dayFeb 19, 2026 · Team lift-out · derived
- Gregory Lewis Klar left Sfi Advisors, Llc for Mariner (registered 2022-03-11)Sep 22, 2022 · Advisor changed firm · fact
- Elliott Peter Goodman (Member) no longer on Schedule A of Sfi Advisors, Llc (listed 2020-03-19, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Sfi Advisors, Llc filed its initial SEC registration (Form ADV)Mar 28, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- SFI Advisors, LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- chris@sfiadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- debbie@sfiadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- henry@sfiadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- james@sfiadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- judy@sfiadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- scott@sfiadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 770-495-1950reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 770-495-1953reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-536-1014reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/sfiadvisors/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SFIADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 973-744-1014reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $44.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026