Frank Lupu is a registered investment advisor at Lupu Financial, based in Westlake Village, CA, with 17 years of industry experience. Frank operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 45 clients with $15M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
The annual fee is negotiable based upon certain criteria (e.g., historical relationship, type of assets, anticipated future earning capacity, anticipated future additional assets, dollar amounts of assets to be managed, related accounts, account composition, negotiations with Clients, etc.). Total fees to Client will never exceed the safe harbor threshold of 3% of assets under management per year.
Fee Estimator
Location
2945 Townsgate Rd., Suite 200, Westlake Village, CA, 91361
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Frank is an insurance agent with Lupu Insurance Services, LLC, selling fixed insurance products since August 2023. This activity takes about 10-20% of his time.
Employment History
Current Registrations
Lupu Financial
Previous Registrations
Securities America Advisors, INC.
Cooper Mcmanus
Securities America, INC.Broker
Edward Jones
Edward JonesBroker
State Registrations1 state
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.