Frank Lumpuy
Advisor at SB Advisory, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
SB Advisory, LLC
Location
Miami, FL
Credentials
Series 63, Series 65
Industry experience
34 years
About
Frank Lumpuy is a financial advisor with SB Advisory, LLC, holding Series 63 and Series 65 licenses and bringing 34 years of industry experience. He previously worked at Kovack Advisors, Inc. and Kovack Securities, Inc. in various roles. Outside of advising, he spends a small portion of time as an agent for fixed insurance products. SB Advisory, LLC provides investment advisory and financial planning services to individuals, high-net-worth clients, and businesses. The firm offers access to third-party money managers and employs a range of portfolio management strategies, including discretionary and non-discretionary approaches tailored through technical, fundamental, and qualitative analysis.
Client services
Based on SB Advisory, LLC
Financial planning
Portfolio management
Selection of other advisers
Expertise
Based on SB Advisory, LLC
General retirement planning
College savings (529s, UTMA, etc.)
Cash flow / budgeting
Wealth management
Fee options
$0 - $500,000: 2.50% $500,000 - $1 Million: 2.00% $1 Million - $2 Million: 1.75% $2 Million - $5 Million: 1.50% $5 Million+: 1.25%
Clients may incur commissions and transaction fees for trades; listed equities up to $10/transaction, mutual funds up to $15/transaction, fixed income up to $20/transaction
Hourly Financial Planning & Consultation charged up to $600/hour, negotiable
Fee-only: Comprehensive Financial Planning up to $15,000 or up to 1% of assets; Limited Financial Planning and Hourly Financial Planning at max $600/hour, fees negotiable
Location
Miami, FL
Most active in
Frank L has reported serving >5 clients in these states in the last 12 months.
Florida
Work history
SB Advisory
2024 - Present (2 years)
Kovack Advisors, Inc.
2012 - 2024 (12 years)
Kovack Securities, Inc.
2006 - 2024 (18 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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Miami, FL
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