DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

SBSB FINANCIAL ADVISORS

SULLIVAN, BRUYETTE, SPEROS & BLAYNEY, LLC, CRD 109732

MCLEAN, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c39d1df2-bbea-f2e2-c422-9b88c4dd3e45

Data as of Mar 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 62
Dated events: 3
On other graphs: 1
Observed: Mar 29, 2012 to Mar 30, 2021
53 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Sbsb Financial Advisors

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $5.1BItem 5.F on the latest filing (2021-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.0B
Private client RAUM: $4.6BderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 66
Advisory employees: 31
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 4,525
Individual clients: 272
High net worth clients: 876
Custody, client assets: $2.1B
SEC number: 801-38301
CRD: 109732
Filings on the tape: 53
First filed: Mar 29, 2012
Latest filed: Mar 30, 2021
Organised: Limited Liability Company, Virginia

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
Sbsb02	Other Private Fund	$0	Mar 21, 2016	4	Mar 29, 2012	dropped	n/a
Sbsb03	Other Private Fund	$0	Mar 21, 2016	10	Mar 29, 2012	dropped	n/a
Sbsb01	Other Private Fund	$0	Mar 21, 2016	10	Mar 29, 2012	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BRUYETTE, JAMES, JOSEPH	CO-CEO; PRINCIPAL	B	yes	01/2003	Mar 29, 2012	Mar 30, 2021
DUNNE, PATRICK, WILLIAM	CHIEF FINANCIAL OFFICER; PRINCIPAL	Na	yes	01/2019	Mar 21, 2019	Mar 30, 2021
JOHANNESSEN, MARK, EDWARD	Principal	A	yes	03/2017	Mar 29, 2017	Mar 30, 2021
SBSB HOLDINGS LLC	MANAGING MEMBER	E	yes	04/2016	Apr 1, 2016	Mar 30, 2021
SPEROS, PETER, CHARLES	PRESIDENT; SECRETARY; PRINCIPAL	B	yes	01/2003	Mar 29, 2012	Mar 30, 2021
SULLIVAN, GREGORY, DONALD	CO-CEO; PRINCIPAL	C	yes	01/2003	Mar 29, 2012	Mar 30, 2021
SULLIVAN, GREGORY, DONALD	Member	C	yes	04/2016	Mar 29, 2012	Mar 30, 2021
INGRAM, GARY, DAVID	CHIEF COMPLIANCE OFFICER, PRINCIPAL	Na	no	08/2019	Aug 1, 2019	Mar 30, 2021

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Raleigh	Nc	United States	2	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 30, 2021	$5.1B	$5.0B	66	31	2	n/a	n/a
2019	Mar 31, 2020	$4.3B	$4.3B	66	31	1	n/a	n/a
2018	Mar 21, 2019	$3.5B	$3.5B	62	27	1	n/a	n/a
2017	Mar 30, 2018	$3.5B	$3.4B	56	25	0	n/a	n/a
2016	Mar 29, 2017	$2.9B	$2.9B	51	25	n/a	n/a	n/a
2015	Mar 21, 2016	$2.8B	$2.7B	47	22	n/a	3	$0
2014	Mar 31, 2015	$2.9B	$2.8B	45	20	n/a	3	$0
2013	Mar 31, 2014	$2.7B	$2.6B	40	20	n/a	3	$0
2012	Apr 1, 2013	$2.4B	$2.3B	38	20	n/a	3	$0
2011	Mar 29, 2012	$2.2B	$2.1B	n/a	n/a	n/a	3	$0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$5.1B	$4.3B	17.9%	$3.5B	13.4%	66	66	2	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CREATIVE PLANNING	2	Apr 13, 2021	Apr 21, 2021	RALEIGH, NC	Team lift out	RIA to RIA	6.7%
CREATIVE PLANNING	22	Apr 13, 2021	May 3, 2021	MCLEAN, VA	Firm absorbed	RIA to RIA	73.3%
E*TRADE CAPITAL MANAGEMENT, LLC	3	Apr 13, 2021	Feb 14, 2003	MCLEAN, VA	Team lift out	RIA to RIA	10.0%

Relationships

Controls (6)

← SULLIVAN, GREGORY, DONALDOwnerMEMBER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← BRUYETTE, JAMES, JOSEPHOwnerCO-CEO; PRINCIPAL, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← SPEROS, PETER, CHARLESOwnerPRESIDENT; SECRETARY; PRINCIPAL, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← JOHANNESSEN, MARK, EDWARDOwnerPRINCIPAL, ownership code A, individual
Mar 29, 2017 to presentfactForm ADV
← DUNNE, PATRICK, WILLIAMOwnerCHIEF FINANCIAL OFFICER; PRINCIPAL, ownership code NA, individual
Mar 21, 2019 to presentfactForm ADV
← SBSB HOLDINGS LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Apr 1, 2016 to presentfactForm ADV

Owns (1)

← INGRAM, GARY, DAVIDOwnerCHIEF COMPLIANCE OFFICER, PRINCIPAL, ownership code NA, individual
Aug 1, 2019 to presentfactForm ADV

Affiliated with (1)

← M&I INVESTMENT MANAGEMENT CORP.Registered adviserother investment adviser, common control
factForm ADV

Moved with (2)

→ CREATIVE PLANNINGRegistered adviser22 advisors, firm absorbed, same day
Apr 13, 2021 to May 3, 2021factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviser3 advisors, team lift out, same day
Apr 13, 2021 to Feb 14, 2003factForm ADV

Registered with (47)

← SARAH E BAKERAdvisorregistration: previous registration
Oct 11, 2017 to Apr 14, 2021factForm ADV
← JOSEPH STANLEY FALCHEKAdvisorregistration: previous registration
May 28, 2019 to Apr 14, 2021factForm ADV
← GREGORY DONALD SULLIVANAdvisorregistration: previous registration
Jan 16, 2002 to Apr 13, 2021factForm ADV
← ROBERT EVERETT CIULLOAdvisorregistration: previous registration
Mar 11, 2021 to Apr 13, 2021factForm ADV
← JAMES JOSEPH BRUYETTEAdvisorregistration: previous registration
Jan 16, 2002 to Apr 13, 2021factForm ADV
← KRISTEN MALEY ANDREJEVAdvisorregistration: previous registration
Jan 16, 2002 to Apr 13, 2021factForm ADV
← PETER CHARLES SPEROSAdvisorregistration: previous registration
Jan 16, 2002 to Apr 13, 2021factForm ADV
← MARK EDWARD JOHANNESSENAdvisorregistration: previous registration
Jan 16, 2002 to Apr 13, 2021factForm ADV
← BARBARA JANE SCHELHORNAdvisorregistration: previous registration
Jan 16, 2002 to Apr 13, 2021factForm ADV
← JENNIFER BEVIN QUIGLEYAdvisorregistration: previous registration
Nov 19, 2002 to Apr 13, 2021factForm ADV
← GARY JEROME LYONSAdvisorregistration: previous registration
May 25, 2006 to Apr 13, 2021factForm ADV
← ALFRED A. JORDANOAdvisorregistration: previous registration
Oct 25, 2007 to Apr 13, 2021factForm ADV
← CHIP JASON JURGENSENAdvisorregistration: previous registration
Jun 26, 2019 to Apr 13, 2021factForm ADV
← JEFFREY RICHARD PORTERAdvisorregistration: previous registration
Mar 16, 2006 to Apr 13, 2021factForm ADV
← JASON LLOYD WILLIAMSAdvisorregistration: previous registration
Feb 17, 2005 to Apr 13, 2021factForm ADV
← Shayna Amalie LebowitzAdvisorregistration: previous registration
Oct 25, 2016 to Apr 13, 2021factForm ADV
← TAYLOR ROBERT SEILINGAdvisorregistration: previous registration
Aug 2, 2011 to Apr 13, 2021factForm ADV
← PATRICK WILLIAM DUNNEAdvisorregistration: previous registration
Mar 27, 2006 to Apr 13, 2021factForm ADV
← DREW RANDALL HOWELLAdvisorregistration: previous registration
Jul 3, 2013 to Apr 13, 2021factForm ADV
← DANIEL JOSEPH GRAFFAdvisorregistration: previous registration
May 2, 2018 to Apr 13, 2021factForm ADV
← STEVEN MATHEWS GASPARINIAdvisorregistration: previous registration
Dec 6, 2019 to Apr 13, 2021factForm ADV
← CHRISTIAN ENRIQUE MIJARESAdvisorregistration: previous registration
Apr 27, 2020 to Apr 13, 2021factForm ADV
← Kyle Matthew SummersAdvisorregistration: previous registration
Oct 15, 2019 to Apr 13, 2021factForm ADV
← Thomas Joseph AnninAdvisorregistration: previous registration
Oct 15, 2019 to Apr 13, 2021factForm ADV
← Matthew Behr LazorAdvisorregistration: previous registration
Mar 2, 2021 to Apr 13, 2021factForm ADV
← Walter John NockettAdvisorregistration: previous registration
Sep 20, 2016 to Apr 13, 2021factForm ADV
← Mark J MartinAdvisorregistration: previous registration
Apr 20, 2017 to Apr 13, 2021factForm ADV
← Alexandra PayneAdvisorregistration: previous registration
Nov 9, 2020 to Apr 13, 2021factForm ADV
← MORGAN DOUGLASSAdvisorregistration: previous registration
Aug 28, 2020 to Apr 13, 2021factForm ADV
← ERICA NICOLE JAMESAdvisorregistration: previous registration
Jan 28, 2021 to Apr 13, 2021factForm ADV
and 17 more

Advises (3)

→ SBSB01Private fundOther Private Fund, IA, no longer reported
Mar 29, 2012 to Mar 21, 2016factForm ADV
→ SBSB02Private fundOther Private Fund, IA, no longer reported
Mar 29, 2012 to Mar 21, 2016factForm ADV
→ SBSB03Private fundOther Private Fund, IA, no longer reported
Mar 29, 2012 to Mar 21, 2016factForm ADV

Dated events

Occurred
Aug 1, 2019
Control person left
Elizabeth Martine Lellis (Chief Operating Officer / Chief Compliance Officer) no longer on Schedule A of Sbsb Financial Advisors (listed 2019-06-28, absent 2019-08-01)
Form ADVobserved 5 days ago
Occurred
Mar 21, 2019
Control person joined
William Patrick Dunne (Chief Financial Officer; Principal) appeared on Schedule A of Sbsb Financial Advisors
Form ADVobserved 5 days ago
Occurred
Mar 21, 2016
Succession filed (Item 4)
Sbsb reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c39d1df2-bbea-f2e2-c422-9b88c4dd3e45
First observed: Mar 29, 2012
Last observed: Mar 30, 2021 66 months ago
Source families: Federal regulator filings
3 registered feeds 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.

SBSB FINANCIAL ADVISORS

SULLIVAN, BRUYETTE, SPEROS & BLAYNEY, LLC, CRD 109732

MCLEAN, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c39d1df2-bbea-f2e2-c422-9b88c4dd3e45

Data as of Mar 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:45 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

Sbsb02

Other Private Fund

Mar 21, 2016

Mar 29, 2012

dropped

n/a

Sbsb03

Other Private Fund

Mar 21, 2016

Mar 29, 2012

dropped

n/a

Sbsb01

Other Private Fund

Mar 21, 2016

Mar 29, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRUYETTE, JAMES, JOSEPH

CO-CEO; PRINCIPAL

yes

01/2003

Mar 29, 2012

Mar 30, 2021

DUNNE, PATRICK, WILLIAM

CHIEF FINANCIAL OFFICER; PRINCIPAL

yes

01/2019

Mar 21, 2019

Mar 30, 2021

JOHANNESSEN, MARK, EDWARD

Principal

yes

03/2017

Mar 29, 2017

Mar 30, 2021

SBSB HOLDINGS LLC

MANAGING MEMBER

yes

04/2016

Apr 1, 2016

Mar 30, 2021

SPEROS, PETER, CHARLES

PRESIDENT; SECRETARY; PRINCIPAL

yes

01/2003

Mar 29, 2012

Mar 30, 2021

SULLIVAN, GREGORY, DONALD

CO-CEO; PRINCIPAL

yes

01/2003

Mar 29, 2012

Mar 30, 2021

SULLIVAN, GREGORY, DONALD

Member

yes

04/2016

Mar 29, 2012

Mar 30, 2021

INGRAM, GARY, DAVID

CHIEF COMPLIANCE OFFICER, PRINCIPAL

08/2019

Aug 1, 2019

Mar 30, 2021

City

State

Country

Employees

Also broker-dealer

Raleigh

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 30, 2021

$5.1B

$5.0B

n/a

2019

Mar 31, 2020

$4.3B

n/a

2018

Mar 21, 2019

$3.5B

n/a

2017

Mar 30, 2018

$3.5B

$3.4B

n/a

2016

Mar 29, 2017

$2.9B

n/a

2015

Mar 21, 2016

$2.8B

$2.7B

n/a

2014

Mar 31, 2015

$2.9B

$2.8B

n/a

2013

Mar 31, 2014

$2.7B

$2.6B

n/a

2012

Apr 1, 2013

$2.4B

$2.3B

n/a

2011

Mar 29, 2012

$2.2B

$2.1B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$5.1B

$4.3B

17.9%

$3.5B

13.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CREATIVE PLANNING

Apr 13, 2021

Apr 21, 2021

RALEIGH, NC

Team lift out

RIA to RIA

6.7%

CREATIVE PLANNING

Apr 13, 2021

May 3, 2021

MCLEAN, VA

Firm absorbed

RIA to RIA

73.3%

E*TRADE CAPITAL MANAGEMENT, LLC

Apr 13, 2021

Feb 14, 2003

MCLEAN, VA

Team lift out

RIA to RIA

10.0%