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Dennis Ku

Sb Advisory, LLC
21 Years of Experience
Lewis Center, OH
1 DisclosureBrokerSells Insurance
View SEC Summary
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Dennis Ku is a registered investment advisor at Sb Advisory, LLC, based in Lewis Center, OH, with 21 years of industry experience. Dennis is also registered as a broker, so some compensation may come from commissions on products sold. 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
—
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Location

Lewis Center, OH

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History

Regulatory History (1)
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.
Employment Separation After Allegations
October 2021
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Dennis owns an insurance brokerage under the DBA Dennis Ku, focusing on multi-line insurance sales and service since 2021. This activity takes about 10-20% of his time, with approximately 8 hours per month dedicated to trading.

Employment History
Current Registrations
Sb Advisory, LLC
December 2021 - Present · 4 yrs 10 mos
San Blas Securities LLCBroker
November 2021 - Present · 4 yrs 11 mos
San Blas Securities LLC
November 2021 - Present · 4 yrs 11 mos
Previous Registrations
Hornor, Townsend & Kent, LLC
March 2019 - October 2021 · 2 yrs 7 mos
Hornor, Townsend & Kent, LLCBroker
January 2019 - October 2021 · 2 yrs 9 mos
Bankers Life Advisory Services, INC.
November 2018 - January 2019 · 2 mos
Bankers Life Securities, INC.Broker
May 2016 - January 2019 · 2 yrs 8 mos
Proequities, INC.Broker
June 2010 - May 2016 · 5 yrs 11 mos
Uvest Financial Services Group, INC.Broker
July 2007 - May 2010 · 2 yrs 10 mos
Allstate Financial Services, LLCBroker
January 2006 - May 2007 · 1 yr 4 mos
Foresters Equity Services, INC.Broker
January 2003 - July 2004 · 1 yr 6 mos
State Registrations13 states
CADEFLGAKYMIMONCNJOHPAVAWV
AdvisorBrokerBoth

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.
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