Sfc Financial Llc
- Regulatory AUM
- $208M
- Discretionary
- $0
- Clients
- 78
- Avg AUM / client
- $2.7M
- Accounts
- 251
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 37 | $6.6M | 3.16% |
| High net worth individuals | 40 | $201M | 96.7% |
| Charitable organizations | 1 | $247K | 0.12% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kenneth Allen Coplen | Member, Manager & Chief Compliance Officer | Personal Financial Specialist | Nov 2003 (23y) | 50% – 75% |
| Jacob Victor Potter | Member | Aug 2017 (9y) | 25% – 50% | |
| Russo, Kimberly, Diane | Member | Aug 2019 (7y) | 10% – 25% | |
| Sharon Cathleen Stanton | Registered representative | May 2009 (17y) | ||
| Walter Allen Klein | Registered representative | Feb 2025 (2y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/25/2026 | 926 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- National Financial Services (Fidelity) $208M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 25, 2026.
View current Form ADV (SEC/IAPD) ↗