SBK FINANCIAL, INC.
Adviser information for SBK FINANCIAL, INC. last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Virginia, United States |
Employees
| Total Number of Employees | 18 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,315 | $1.1B |
| Non-Discretionary | 0 | $0 |
| Total | 1,315 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 99 | $37.4M |
| HNW Individuals | 162 | $1.1B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $20.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 10 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)TAX PREPARATION & PLANNING |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-64185 |
|---|---|
| SEC ERA File Number | 801-64185 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132513 |
| Legal Entity Identifier | None |
Principal Office
1001 HAXALL POINTSUITE 705
RICHMOND
VA
United States
Monday - Friday, 8:30AM 5:30PM
Tel: 804-237-1700, Fax: None
Chief Compliance Officer
CONSTANTINE (AKA DEAN) PELOS
1001 HAXALL POINT
SUITE 705
RICHMOND
VA
United States
Tel:
224-548-9262
D*****@***************M
(Full email address available in API data)
Regulatory Contact
ANDREA BROUGHTON
1001 HAXALL POINT
SUITE 705
RICHMOND
VA
United States
Tel:
804-237-1700
A*********@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KING, JOHN, KEVIN | Individual | – | PRESIDENT | 03/2004 | 25-50% |
| BROUGHTON, ANDREA, LYNN | Individual | – | CHIEF EXECUTIVE OFFICER / PARTNER (04/2005) | 04/2023 | 25-50% |
| STUMPF, STEPHANIE, FELTS | Individual | – | DIRECTOR / PARTNER (12/2017) | 03/2006 | 25-50% |
| CRAIGHILL, CLAIRE, ELAINE | Individual | – | DIRECTOR / PARTNER (12/2017) | 04/2007 | 5-10% |
| WILLIAMS, JOHN, CONSTANTINE | Individual | – | SENIOR TAX ADVISOR / PARTNER | 01/2020 | 5-10% |
| PELOS, CONSTANTINE, ANDREW | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2023 | < 5% |
| Bailey, Jonathan | Individual | – | PARTNER | 03/2024 | < 5% |