Sfg Investment Advisors, Inc. (Doylestown)

Name: Sfg Investment Advisors, Inc.
Address: 3655 Route 202, Suite 140, Doylestown, PA, 18902
Telephone: 215-345-5601

Sfg Investment Advisors, Inc. is a large advisory firm based in Doylestown. It manages $211.5 million of regulatory assets for 563 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of New Jersey, Pennsylvania, and Texas.

Sfg Investment Advisors provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, and financial education. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Sfg Investment Advisors: assets under management

The assets under management (AUM) of Sfg Investment Advisors, Inc. is $211.5 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 55% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $211.5 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $375.67 thousand each.

Sfg Investment Advisors has custody of $76.28 million in cash and securities for 74 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 60% of the total AUM. The second-largest asset type is exchange traded securities, which make up 27% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sfg Investment Advisors, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Kelly Jay Groff serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Kelly Jay Groff is high net worth individuals with 59 clients and $192.59 million of assets under management. Among the 9 most similar advisory firms, Sfg Investment Advisors has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $211.5 million for 105 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Sfg Investment Advisors doesn't advise any private funds.

Careers at Sfg Investment Advisors, Inc.

The company employs 7 people that are either part- or full-time employees. 43 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Kelly Jay Groff has been acting as President since 1 Apr 2006. Alison Wall Kerber joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Charles Fox Steege	President, director	1 Dec 1996	75% - 100%	1364360
Susan Mathers Steege	Secretary/treasurer/director	1 Dec 1996	Other	2479744
Patricia J Kreschollek	Shareholder/bookkeeper	1 Jan 2002	Other	3227347
Patricia Jane Kreschollek	Shareholder/bookkeeper	1 Jan 2002	Other	3227347
Kelly Jay Groff	Shareholder/vice president/director/chief compliance officer	1 Apr 2006	Other	2995555
Adam Michael Newman	Shareholder	1 Jan 2014	Other	5785551
Alison Wall Kerber	Shareholder	1 Jan 2017	Other	5967156

Based in Doylestown

The principal office where Sfg Investment Advisors, Inc. performs its advisory services is located at 3655 Route 202, Suite 140, Doylestown, PA 18902, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 215-345-5601 or by fax 215-345-5621. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at sfgadvisors.com.