THE STRATEGIC FINANCIAL ALLIANCE

Broker-DealerFINRA MemberEst. 2003

Total AUM

$382M

Discretionary

$27M

7% of AUM

Accounts

1,022

Employees

Advisory reps

143

Brokerage reps

Firm details

Headquarters: Atlanta, Georgia
CRD number: 126514
Registered since: July 18, 2003
Website: thesfa.net
Custodians: PERSHING LLC
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Commissions
Client types: Individuals58.03%
HNWI40.43%
Corporations / Businesses1.54%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

The Strategic Financial Alliance is a corporation registered with the SEC since 2003 that operates primarily as an insurance broker-dealer while also serving as a capital allocator. Its client base spans individuals, families and institutional entities. The firm offers a mix of fee arrangements — percentage of assets under management, hourly and fixed fees, and commission-based compensation — reflecting its dual broker-dealer and advisory roles. Advisory services listed include financial planning, portfolio management for individuals, small businesses and institutions, selection of other advisers, and educational seminars or workshops. Industry affiliations show the firm functions not only as a broker-dealer and investment adviser but also as an insurance company and as sponsor/GP/managing member of pooled investment vehicles. The firm is not identified as an active ESG investor.