SourcingSourcing

LOCKER FINANCIAL SERVICES, LLC

C45
CRD 120900·SEC 801-118288·VERONA, NJ
AUM
$213.8M
$100M-$500M
Est. Revenue
$2.1M
@ 1% on AUM
Est. EBITDA
$641K
@ 30% margin
Est. Deal Value
$5.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
LOCKER FINANCIAL SERVICES, LLC
CRD
120900
SEC file #
801-118288
EIN
—
DBA names
—

Economics

AUM
$213.8M
AUM band
$100M-$500M
AUM trajectory
'21'26
$128.1M → $213.8M▲ +67%
Client mix
Individuals Other76
Individuals High Net Worth65

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'21'26
2 advisors → 2 advisors▬ 0%
Primary office
VERONA NJ
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsEducational Seminars Workshops
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
02/09/2026
ADV-W filed at
—
Website
lockerfinancial.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CHAN, ANDREW
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
CHAN, ANDREW
LOCKER, LAUREN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
LOCKERFINANCIAL.COM
Rdap Domain Creation Date
1999-03-11T05:00:00Z
Rdap Firm Age Years
27
Rdap Firm Age Band
20+y
Rdap Registrar
Dynadot Inc

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.4993
Soi Zip Pct 200k Plus
0.2531
Soi Zip Returns 200k Plus
1840
Soi Zip Total AGI
1,240,896
Fdic Zip Total Deposits
10,091,046,000
Fdic Zip Branch Count
149
Fdic Zip Top Banks
JPMorgan Chase Bank, National Association
Wells Fargo Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fdic Zip Branches Raw
Hudson United BankVerona, NJ
Penn Federal Savings BankVerona, NJ
Fdic Zip HHI
1098.32
Fdic Zip Top Bank Share Pct
23.42
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-03-11T05:00:00Z
Rdap Domain Last Changed
2024-04-28T16:38:16Z
Rdap Nameservers
Ns1.bdm.microsoftonline.comNs2.bdm.microsoftonline.comNs3.bdm.microsoftonline.comNs4.bdm.microsoftonline.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI13,196
Returns1,310
Stub 2
AGI29,342
Returns780
Stub 3
AGI52,442
Returns840
Soi Zip Total Business Income
50,920
Soi Zip Total Cap Gains
64,131
Soi Zip Total Dividends
33,332
Soi Zip Total Returns
7,270
Top Owner CRD
4693414
Trust Company Affiliate
No

People (2)

2
LOCKER, LAUREN
IAR · Direct Owner · 62.5%
2122142
CHAN, ANDREW
IAR · Direct Owner · 62.5%
4693414