Frank Lumpuy is a registered investment advisor at Sb Advisory, LLC, based in Atlanta, GA, 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 Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 1,574 clients with $400M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 2.50% |
| $500K - $1.0M | 2.00% |
| $1.0M - $2.0M | 1.75% |
| $2.0M - $5.0M | 1.50% |
| $5M+ | 1.25% |
Fees are negotiable. For Advisor Choice Program/AssetMark Programs/Brinker Capital, clients will be charged the money manager's fee schedule plus an additional negotiable fee of up to 1.25% to SB Advisory. Total fees do not exceed 2.50% of assets under management. For Flexible Plan Investments, the total advisory fee will not exceed 1.5% annually.
Fee Estimator
Location
3424 Peachtree Road Ne, Suite 2200, Atlanta, GA, 30326-1184
Get directionsHistory
Regulatory History (6)
Regulatory
May 2025Employment Separation After Allegations
February 2024Customer Dispute
January 2024Regulatory
June 2007Employment Separation After Allegations
June 2006Customer Dispute
July 2002Other 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
Previous Registrations
Kovack Advisors, INC.
Kovack Securities INC.Broker
Newbridge Securities CorporationBroker
High Mark Securities, INC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
The Equitable Life Assurance Society of the United StatesBroker
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.