# THE STRATEGIC FINANCIAL ALLIANCE, INC.

THE STRATEGIC FINANCIAL ALLIANCE, INC. of ATLANTA, GA is an SEC-registered investment adviser.

## Registration

- CRD: 126514
- Type: SEC-registered investment adviser
- SEC file number: 801-62226
- Location: 2200 CENTURY PARKWAY, SUITE 500, ATLANTA, GA, 30345
- Phone: 678-954-4000
- Latest filing: 2026-03-31
- Regulatory AUM: $382.0M
- Discretionary AUM: $27.0M
- Non-discretionary AUM: $355.1M
- Clients: 56
- Accounts: 1,022

## Business model

- Compensation: % of AUM, Hourly, Fixed, Commissions
- Clients served: Individuals, High net worth, Pooled vehicles, Charities

## Officers, owners & control persons (27)

_Showing 25 of 27 people._

| Name | Role | Location |
| --- | --- | --- |
| Maxwell S Thomas | PARTNER | Gilbert, AZ |
| Clive Slovin | DIRECTOR | Atlanta, GA |
| Arthur Bertram Goldsmith | SVP | — |
| Edward Barnett Woll | VICE PRESIDENT, CCO | — |
| Joseph Killingsworth Copeland | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | — |
| Julie Ann Sullivan | PRESIDENT, DIRECTOR | — |
| Anna Elise Tatum | CFO | — |
| David Schroll | VICE-PRESIDENT SUPERVISION | — |
| Veronica Ray Harrell | ASSISTANT VICE-PRESIDENT | — |
| MARTIN ROBERT JAMES | FIN OP | — |
| SLOVIN CLIVE | DIRECTOR; PRESIDENT; DIRECTOR; PRESIDENT; FINOP (+1 more) | — |
| GOLDSMITH ARTHUR BERTRAM | CHIEF COMPLIANCE OFFICER/SVP; SENIOR VICE PRESIDENT; SVP (+1 more) | — |
| WOLL EDWARD BARNETT | CHIEF COMPLIANCE OFFICER, SROP/CROP; COMPLIANCE OFFICER, SROP/CROP; VICE PRESIDENT (+1 more) | — |
| GUTHRIE ANTHONY ALAN | PARTNER | — |
| PHELPS KENNETH JOYNER | PARTNER | — |
| SULLIVAN GAIL ANN | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, SVP; PRESIDENT, DIRECTOR (+1 more) | — |
| KENNEDY SHAYNA JANELLA | CHIEF COMPLIANCE OFFICER, SROP/CROP | — |
| FLINN ANDREW JOSEPH | SHAREHOLDER | — |
| MAXWELL JAMES T | PARTNER | — |
| PAYNE CHESTER CARLTON | SVP, CHIEF OPERATING OFFICER | — |
| MARSHALL SHAYNA JANELLA | CHIEF COMPLIANCE OFFICER, SROP/CROP | — |
| HOLLOWAY LAREE L | FINOP, VICE PRESIDENT | — |
| SYWAK ALEXANDER JAMES | VICE PRESIDENT, SUPERVISION | — |
| Copeland Joseph Killingsworth | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | — |
| MERRIMAN JEAN M | VICE PRESIDENT, DUE DILIGENCE & PRODUCT MANAGEMENT | — |


## Disclosures (6)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2015-10-29 | regulatory | FINRA ALLEGES THAT BETWEEN 11/01/2011 AND 12/09/2014 FIRM HAD NO SUPERVISORY PROCEDURES ADDRESSING THE USE AND SUPERVISION OF CONSOLIDATED REPORTS; FIRM INADEQUATELY ADDRESSED VERIFICATION OF VALUATION INFORMATION; FIRM DID NOT MAINTAIN DOCUMENTATION DEMONSTRATING PROPER REVIEW AND MAINTENANCE OF CO… | Final | $30K |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/126514/brochure
- Similar advisers: https://search.stillhousedata.com/firm/126514/similar
- Related entities: https://search.stillhousedata.com/firm/126514/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/126514

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.