SFC Financial LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$208,024,504
Clients
77
Advisors
4
of 4 employees
About
SFC Financial, LLC provides investment supervisory services, financial planning, and ERISA 3(21) retirement-plan advisory to individuals, high-net-worth clients, trusts, charitable organizations, corporations, and employee retirement plans. The firm offers ongoing portfolio management and written financial plans, with implementation and consulting delivered on a non-discretionary basis.
Portfolios are constructed using asset-allocation guidance informed by fundamental and technical analysis, mutual fund/ETF evaluation, and periodic reviews; the firm also uses option strategies, including buying puts and writing covered calls, as part of its investment toolset. Account supervision is guided by each client's stated objectives, risk tolerance and liquidity needs, and clients retain authority over trade execution and brokerage selection.
A distinctive operational feature is the firm’s affiliation with the accounting firm Swink Coplen & Company, P.C., with cross-referral practices and key personnel maintaining active CPA practices that, the brochure notes, receive the majority of those individuals’ professional time. Also atypical among similar team firms, the adviser reports approximately $208.3 million in assets under management handled entirely on a non-discretionary basis and discloses the use of derivatives within client accounts.
Client services
Expertise
Occupation focus
Fee options
Portfolio management fixed fees can be charged on a case-by-case basis, typically ranging from $10,000 to $20,000 annually.
$0+: Up to 1% annually, fee may be lowered at Adviser's discretion as assets increase $0+: Retirement plan advisory services: typically 0.35% to 0.80% annually depending on plan size
Management personnel may receive insurance commissions from insurance products sold separately from advisory services.
Financial planning fees charged at $460 per hour.
Minimum fee: Fixed fees typically range from $10,000 to $20,000 annually for portfolio management services. Fee-only: Fees are charged for advisory services; no commissions on advisory fees. However, management personnel may receive insurance commissions separately.
Main office
3890 S. Lindbergh Blvd., Suite 210
St. Louis MO 63127
Advisors at this office
4
Most active in
Illinois · Missouri · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Sharon S
Series 65
St. Louis, MO
SFC Financial LLC
Sharon Stanton is a financial advisor at SFC Financial LLC in St. Louis, MO, holding a Series 65 designation with 16 years of industry experience. She has been with SFC Financial LLC and its affiliated firm Swink Fiehler and Company since 2005. SFC Financial LLC provides investment advisory and financial planning services to individuals, trusts, charitable organizations, corporations, and retirement plans. The firm combines fundamental and technical analysis with asset-allocation techniques and employs both long- and short-term strategies, including option strategies such as covered calls, managing assets on a non-discretionary basis while clients retain execution authority.
Kenneth C
PFS™, Series 66
St. Louis, MO
SFC Financial LLC
Kenneth Coplen is a financial advisor with SFC Financial LLC in St. Louis, MO, holding the PFS™ and Series 66 designations and bringing 25 years of industry experience. He has been with SFC Financial since 2003 and also serves as owner and secretary of the accounting firm Swink, Fiehler & Company, P.C., where he works as a tax accountant and consultant. SFC Financial, LLC provides investment advisory and financial planning services to individuals, trusts, charitable organizations, corporations, and employer retirement plans. The firm manages assets non-discretionarily, utilizing fundamental and technical analysis, asset allocation, and option strategies, with an affiliation to the accounting firm Swink Coplen & Company, P.C. that facilitates cross-referrals between financial and tax services.
Walter K
Series 65
Sunset Hills, MO
SFC Financial LLC
Walter Klein IV is a financial advisor at SFC Financial LLC with one year of industry experience. He holds a Series 65 credential and also works as a staff accountant at Swink Coplen & Company, where he prepares tax returns and projections. His background includes four years at Swink Coplen & Company and nine years as a student prior to entering the advisory field. SFC Financial, LLC provides investment advisory and financial planning services to individuals, trusts, charitable organizations, corporations, and employer retirement plans. The firm manages assets non-discretionarily using a mix of fundamental and technical analysis, asset-allocation techniques, and option strategies, and maintains a close affiliation with the accounting firm Swink Coplen & Company.
Jacob P
Series 65
St. Louis, MO
SFC Financial LLC
Jacob Potter is a financial advisor at SFC Financial LLC in St. Louis, MO, holding a Series 65 designation with four years of industry experience. He is also a shareholder and director of tax at Swink Coplen & Company PC, a CPA firm where he has worked since 1999. SFC Financial LLC provides investment advisory and financial planning services to individuals, trusts, charitable organizations, corporations, and employer retirement plans. The firm manages assets non-discretionarily using a combination of fundamental and technical analysis, asset allocation, and option strategies, and maintains an affiliation with the accounting firm Swink Coplen & Company, P.C.
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