THE STRATEGIC FINANCIAL ALLIANCE, INC.
Legal name: THE STRATEGIC FINANCIAL ALLIANCE
CRD #126514 SEC #801-62226 ATLANTA, GA 678-954-4000
SEC Registered Broker-Dealer
Total AUM
$470.9M
Discretionary
$28.5M
Employees
63
Clients
101
Accounts
1,394
Firm Details
- Organization Type
- Corporation
- State of Formation
- Georgia
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2025
- Branch Offices
- 33
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| COPELAND, JOSEPH KILLINGSWORTH | I | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | NA | |
| COPELAND, JOSEPH KILLINGSWORTH | I | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | NA | |
| COPELAND, JOSEPH KILLINGSWORTH | I | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | NA | |
| COPELAND, JOSEPH KILLINGSWORTH | I | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | NA | |
| COPELAND, JOSEPH KILLINGSWORTH | I | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | NA | |
| COPELAND, JOSEPH KILLINGSWORTH | I | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | NA | |
| COPELAND, JOSEPH KILLINGSWORTH | I | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | NA | |
| COPELAND, JOSEPH KILLINGSWORTH | I | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | NA | |
| COPELAND, JOSEPH KILLINGSWORTH | I | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | NA | |
| COPELAND, JOSEPH KILLINGSWORTH | I | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | NA | |
| COPELAND, JOSEPH KILLINGSWORTH | I | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | NA | |
| COPELAND, JOSEPH KILLINGSWORTH | I | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | NA | |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SENIOR VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SENIOR VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | CHIEF COMPLIANCE OFFICER/SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SENIOR VICE PRESIDENT | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| GOLDSMITH, ARTHUR BERTRAM | I | SVP | NA | Control |
| HARRELL, VERONICA RAY | I | ASSISTANT VICE-PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| HOLLOWAY, LAREE L | I | FINOP, VICE PRESIDENT | NA | Control |
| KENNEDY, SHAYNA JANELLA | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| KENNEDY, SHAYNA JANELLA | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| KENNEDY, SHAYNA JANELLA | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| MARSHALL, SHAYNA JANELLA | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| MARSHALL, SHAYNA JANELLA | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| MARSHALL, SHAYNA JANELLA | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| MARTIN, JOSEPH JAMES | I | FIN OP | NA | Control |
| MERRIMAN, JEAN M | I | VICE PRESIDENT, DUE DILIGENCE & PRODUCT MANAGEMENT | NA | Control |
| MERRIMAN, JEAN M | I | VICE PRESIDENT, DUE DILIGENCE & PRODUCT MANAGEMENT | NA | Control |
| MERRIMAN, JEAN M | I | VICE PRESIDENT, DUE DILIGENCE & PRODUCT MANAGEMENT | NA | Control |
| MERRIMAN, JEAN M | I | VICE PRESIDENT, DUE DILIGENCE & PRODUCT MANAGEMENT | NA | Control |
| MERRIMAN, JEAN M | I | VICE PRESIDENT, DUE DILIGENCE & PRODUCT MANAGEMENT | NA | Control |
| MERRIMAN, JEAN M | I | VICE PRESIDENT, DUE DILIGENCE & PRODUCT MANAGEMENT | NA | Control |
| MERRIMAN, JEAN M | I | VICE PRESIDENT, DUE DILIGENCE & PRODUCT MANAGEMENT | NA | Control |
| MERRIMAN, JEAN M | I | VICE PRESIDENT, DUE DILIGENCE & PRODUCT MANAGEMENT | NA | Control |
| MERRIMAN, JEAN M | I | VICE PRESIDENT, DUE DILIGENCE & PRODUCT MANAGEMENT | NA | Control |
| PAYNE, CHESTER CARLTON | I | SVP, CHIEF OPERATING OFFICER | NA | Control |
| PAYNE, CHESTER CARLTON | I | SVP, CHIEF OPERATING OFFICER | NA | Control |
| PAYNE, CHESTER CARLTON | I | SVP, CHIEF OPERATING OFFICER | NA | Control |
| SCHROLL, DAVID | I | VICE-PRESIDENT SUPERVISION | NA | |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; FINOP, DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | PRESIDENT; DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | DIRECTOR | NA | Control |
| SLOVIN, CLIVE | I | DIRECTOR | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | SVP | NA | Control |
| SULLIVAN, JULIE ANN | I | PRESIDENT, DIRECTOR | NA | Control |
| SULLIVAN, JULIE ANN | I | PRESIDENT, DIRECTOR | NA | Control |
| SULLIVAN, JULIE ANN | I | PRESIDENT, DIRECTOR | NA | Control |
| SYWAK, ALEXANDER JAMES | I | VICE PRESIDENT, SUPERVISION | NA | |
| SYWAK, ALEXANDER JAMES | I | VICE PRESIDENT, SUPERVISION | NA | |
| SYWAK, ALEXANDER JAMES | I | VICE PRESIDENT, SUPERVISION | NA | |
| SYWAK, ALEXANDER JAMES | I | VICE PRESIDENT, SUPERVISION | NA | |
| SYWAK, ALEXANDER JAMES | I | VICE PRESIDENT, SUPERVISION | NA | |
| SYWAK, ALEXANDER JAMES | I | VICE PRESIDENT, SUPERVISION | NA | |
| SYWAK, ALEXANDER JAMES | I | VICE PRESIDENT, SUPERVISION | NA | |
| SYWAK, ALEXANDER JAMES | I | VICE PRESIDENT, SUPERVISION | NA | |
| SYWAK, ALEXANDER JAMES | I | VICE PRESIDENT, SUPERVISION | NA | |
| SYWAK, ALEXANDER JAMES | I | VICE PRESIDENT, SUPERVISION | NA | |
| SYWAK, ALEXANDER JAMES | I | VICE PRESIDENT, SUPERVISION | NA | |
| TATUM, ANNA ELISE | I | CFO | NA | Control |
| TATUM, ANNA ELISE | I | CFO | NA | Control |
| WOLL, EDWARD BARNETT | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | CHIEF COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | COMPLIANCE OFFICER, SROP/CROP | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT, CCO | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT, CCO | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT, CCO | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT, CCO | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT, CCO | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT, CCO | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT, CCO | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT, CCO | NA | Control |
| WOLL, EDWARD BARNETT | I | VICE PRESIDENT, CCO | NA | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| RELIANCE ADVISORY HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| SFA HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| FGM, LLC | DE | RFC INVESTMENT PARTNERS II | E | Control |
| FGM, LLC | DE | RFC INVESTMENT PARTNERS II | E | Control |
| FGM, LLC | DE | RFC INVESTMENT PARTNERS II | E | Control |
| FGM, LLC | DE | RFC INVESTMENT PARTNERS II | E | Control |
| FGM, LLC | DE | RFC INVESTMENT PARTNERS II | E | Control |
| FGM, LLC | DE | RFC INVESTMENT PARTNERS II | E | Control |
| FGM, LLC | DE | RFC INVESTMENT PARTNERS II | E | Control |
| FGM, LLC | DE | RFC INVESTMENT PARTNERS II | E | Control |
| FGM, LLC | DE | RFC INVESTMENT PARTNERS II | E | Control |
| FLINN, MICHAEL JOSEPH | I | FGM, LLC | D | Control |
| FLINN, MICHAEL JOSEPH | I | FGM, LLC | D | Control |
| FLINN, MICHAEL JOSEPH | I | FGM, LLC | D | Control |
| FLINN, MICHAEL JOSEPH | I | FGM, LLC | D | Control |
| FLINN, MICHAEL JOSEPH | I | FGM, LLC | D | Control |
| FLINN, MICHAEL JOSEPH | I | FGM, LLC | D | Control |
| FLINN, MICHAEL JOSEPH | I | FGM, LLC | D | Control |
| FLINN, MICHAEL JOSEPH | I | FGM, LLC | D | Control |
| FLINN, MICHAEL JOSEPH | I | FGM, LLC | D | Control |
| RFC INVESTMENT PARTNERS II | DE | RELIANCE ADVISORY HOLDINGS, INC. | D | Control |
| RFC INVESTMENT PARTNERS II | DE | RELIANCE ADVISORY HOLDINGS, INC. | D | Control |
| RFC INVESTMENT PARTNERS II | DE | RELIANCE ADVISORY HOLDINGS, INC. | D | Control |
| RFC INVESTMENT PARTNERS II | DE | RELIANCE ADVISORY HOLDINGS, INC. | D | Control |
| RFC INVESTMENT PARTNERS II | DE | RELIANCE ADVISORY HOLDINGS, INC. | D | Control |
| RFC INVESTMENT PARTNERS II | DE | RELIANCE ADVISORY HOLDINGS, INC. | D | Control |
| RFC INVESTMENT PARTNERS II | DE | RELIANCE ADVISORY HOLDINGS, INC. | D | Control |
| GUTHRIE, ANTHONY ALAN | I | RFC INVESTMENT PARTNERS II | C | Control |
| GUTHRIE, ANTHONY ALAN | I | RFC INVESTMENT PARTNERS II | C | Control |
| GUTHRIE, ANTHONY ALAN | I | RFC INVESTMENT PARTNERS II | C | Control |
| GUTHRIE, ANTHONY ALAN | I | RFC INVESTMENT PARTNERS II | C | Control |
| GUTHRIE, ANTHONY ALAN | I | RFC INVESTMENT PARTNERS II | C | Control |
| GUTHRIE, ANTHONY ALAN | I | RFC INVESTMENT PARTNERS II | C | Control |
| GUTHRIE, ANTHONY ALAN | I | RFC INVESTMENT PARTNERS II | C | Control |
| MAXWELL, JAMES THOMAS | I | RFC INVESTMENT PARTNERS II | C | Control |
| MAXWELL, JAMES THOMAS | I | RFC INVESTMENT PARTNERS II | C | Control |
| MAXWELL, JAMES THOMAS | I | RFC INVESTMENT PARTNERS II | C | Control |
| MAXWELL, JAMES THOMAS | I | RFC INVESTMENT PARTNERS II | C | Control |
| MAXWELL, JAMES THOMAS | I | RFC INVESTMENT PARTNERS II | C | Control |
| MAXWELL, JAMES THOMAS | I | RFC INVESTMENT PARTNERS II | C | Control |
| MAXWELL, JAMES THOMAS | I | RFC INVESTMENT PARTNERS II | C | Control |
| PHELPS, KENNETH JOYNER | I | RFC INVESTMENT PARTNERS II | C | Control |
| PHELPS, KENNETH JOYNER | I | RFC INVESTMENT PARTNERS II | C | Control |
| PHELPS, KENNETH JOYNER | I | RFC INVESTMENT PARTNERS II | C | Control |
| PHELPS, KENNETH JOYNER | I | RFC INVESTMENT PARTNERS II | C | Control |
| PHELPS, KENNETH JOYNER | I | RFC INVESTMENT PARTNERS II | C | Control |
| PHELPS, KENNETH JOYNER | I | RFC INVESTMENT PARTNERS II | C | Control |
| PHELPS, KENNETH JOYNER | I | RFC INVESTMENT PARTNERS II | C | Control |
| RFC INVESTMENT PARTNERS II | DE | SFA HOLDINGS, INC. | C | Control |
| RFC INVESTMENT PARTNERS II | DE | SFA HOLDINGS, INC. | C | Control |
| RFC INVESTMENT PARTNERS II | DE | SFA HOLDINGS, INC. | C | Control |
| RFC INVESTMENT PARTNERS II | DE | RELIANCE ADVISORY HOLDINGS, INC. | C | Control |
| RFC INVESTMENT PARTNERS II | DE | SFA HOLDINGS, INC. | C | Control |
| RFC INVESTMENT PARTNERS II | DE | SFA HOLDINGS, INC. | C | Control |
| RFC INVESTMENT PARTNERS II | DE | RELIANCE ADVISORY HOLDINGS, INC. | C | Control |
| RFC INVESTMENT PARTNERS II | DE | SFA HOLDINGS, INC. | C | Control |
| RFC INVESTMENT PARTNERS II | DE | SFA HOLDINGS, INC. | C | Control |
Registrations
Federal
IA
Mar 31, 2025 REGISTERED
Notice Filings (50)
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