TrueAdvisor
TrueAdvisor
FL
FL

Frank Lumpuy

Sb Advisory, LLC
34 Years of Experience
Miami, FL
6 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Frank Lumpuy is a registered investment advisor at Sb Advisory, LLC, based in Miami, FL, with 34 years of industry experience. Frank operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 2,744 clients with $1.1B in assets under management.

Sb Advisory, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
36 advisors
Number of Clients
2,744 clients
Average Client Portfolio
$401K average
Assets Under Management
$1.1B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.50%
$500K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2.0M - $5.0M1.50%
$5M+1.25%

Fees are negotiable. Third-party manager programs charge an additional fee up to 1.25% with total fees not to exceed 2.50%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Miami, FL

Get directions

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 ReportHow 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.

Employment History
Current Registrations
Sb Advisory, LLC
June 2024 - Present · 2 yrs 4 mos
Previous Registrations
Kovack Advisors, INC.
June 2012 - February 2024 · 11 yrs 8 mos
Kovack Securities INC.Broker
June 2006 - February 2024 · 17 yrs 8 mos
Newbridge Securities CorporationBroker
April 2003 - June 2006 · 3 yrs 2 mos
High Mark Securities, INC.Broker
March 2003 - May 2003 · 2 mos
AXA Advisors, LLC
January 1991 - September 2002 · 11 yrs 8 mos
AXA Advisors, LLCBroker
January 1991 - September 2002 · 11 yrs 8 mos
The Equitable Life Assurance Society of the United StatesBroker
January 1991 - January 2000 · 9 yrs
State Registrations1 state
FL
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Miami, FL →All financial advisors in Florida →