SB ADVISORY, LLC
Adviser information for SB ADVISORY, LLC last updated from Form ADV on April 3rd, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 30 |
|---|---|
| Investment Advisory/Research | 28 |
| Registered Broker-Dealer Representatives | 28 |
| Registered State Investment Advisers | 28 |
| Licensed Agents of an Insurance Company | 11 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 233 | $46.5M |
| Non-Discretionary | 593 | $200.3M |
| Total | 826 | $246.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 775 | $141.9M |
| HNW Individuals | 51 | $104.9M |
| 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 | 0 | $0 |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
3424 PEACHTREE ROAD NESUITE 2200
ATLANTA
GA
United States
Monday - Friday, 9 AM TO 5 PM
Tel: 404-704-0406, Fax: None
Chief Compliance Officer
DANIEL PADILLA
3424 PEACHTREE ROAD NE
SUITE 2200
ATLANTA
GA
United States
Tel:
404.334.0341
D*@********************M
(Full email address available in API data)
Regulatory Contact
ALEX MCKENZIE
CEO
3424 PEATREE RD NE
SUITE 2200
ATLANTA
GA
United States
Tel:
631.767.5123
A************@********************M
(Full email address available in API data)
Industry Affiliates
| ES ADVISORY GROUP | Other investment adviser, including financial planners |
| SAN BLAS SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCKENZIE, ALEXYS, ULANDO | Individual | – | CEO | 03/2007 | < 5% |
| IFS GROUP, INC. | Domestic Entity | – | OWNER | 06/2015 | > 75% |
| MCKENZIE, ALEXYS, ULANDO | Individual | IFS GROUP, INC. | CEO | 06/2015 | > 75% |
| PADILLA, DANIEL | Individual | – | CCO | 06/2021 | 10-25% |