S
Stauffer Financial, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Clients per advisor
0
Average account size
—
About
The firm is registered as an investment manager and provides discretionary asset management services to advisory clients described in the brochure as individuals, high-net-worth individuals, and corporations or business entities. At the time of the filing the firm reported no client assets under management and operates with a single advisory professional and one office.
Portfolios are built by documenting each client’s investment goals, time horizon, and risk tolerance and then applying discretionary decisions on investment selection, asset allocation, and ongoing monitoring. The firm cites fundamental analysis and long-term purchase strategies, conducts periodic (typically quarterly) account reviews that consider rebalancing and tax-loss harvesting opportunities, and requires clients to custody assets through a designated custodian.
Noteworthy for an investment-manager profile, the firm’s principal maintains an affiliated insurance practice and will receive commissions for insurance products, a relationship disclosed in the brochure and described as a potential conflict that is managed through disclosures and fiduciary procedures. The firm is recently established (founded in 2025 with advisory services beginning in 2026), is supervised by its sole owner who also serves as compliance officer, and notes additional outside businesses that are operated separately from the advisory practice.
Client services
Portfolio management
Expertise
Wealth management
Fee options
up to 1.50% per year, negotiable
Separate commissions received from insurance product sales by advisory representatives
Main office location
Stauffer Financial, LLC
Rock Hill SC, United States
Number of offices
1
Most active in
Stauffer Financial, LLC has reported serving >5 clients in these states in the last 12 months.
North Carolina · South Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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.
Forms ADV
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