Frank E Lumpuy

Sb Advisory, LLC

34 Years of Experience

6 DisclosuresSells Insurance

View SEC Summary

Areas of Practice

Retirement PlanningEstate PlanningFinancial Planning & CoachingInvestment ManagementHigh Net WorthBusiness Owners

Sb Advisory, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

31 advisors

Number of Clients

1,045 clients

Average Client Portfolio

$274K average

Assets Under Management

$285.9M

Fee Structure

Minimum Investment:None

Location

3424 Peachtree Road Ne, Suite 2200, Atlanta, GA, 30326-1184

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History

Regulatory History (6)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Regulatory

May 2025

Final

Employment Separation After Allegations

February 2024

Customer Dispute

January 2024

Settled

Regulatory

June 2007

Final

Employment Separation After Allegations

June 2006

Customer Dispute

July 2002

Settled

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Frank is an agent selling fixed insurance products, dedicating minimal time to this activity. He also manages two LLCs involving property management, spending minimal time on each.