This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

SB ADVISORY, LLC

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jan 4, 1991earliest registration or exam on IAPD

Years in industry

35derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S65|S63

First exam

Feb 7, 1994

First registration

Jan 4, 1991

Dual registered

no

Other names

FRANK LUMPUY|FRANK E LUMPUY|FRANK ENRIQUE LUMPUY

IAPD individual key

2108307

• Occurred

  Feb 23, 2024
  Advisor changed firm

  Frank E Lumpuy left Kovack Advisors, Inc. for Sb Advisory, Llc (registered 2024-06-03)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:2e48cc9a-ec01-caf5-0b76-7d80e577caa6

First observed

Jan 4, 1991

Last observed

Sep 15, 2026 4 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.