SourcingSourcing

SBK FINANCIAL, INC.

C19
CRD 132513·SEC 801-64185·RICHMOND, VA
AUM
$1.54B
$1B+
Est. Revenue
$15.4M
@ 1% on AUM
Est. EBITDA
$4.6M
@ 30% margin
Est. Deal Value
$36.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SBK FINANCIAL, INC.
CRD
132513
SEC file #
801-64185
EIN
364549119
DBA names
Wealthcrossing

Economics

AUM
$1.54B
AUM band
$1B+
AUM trajectory
'20'26
$574.3M → $1.54B▲ +168%
Client mix
Individuals High Net Worth197
Individuals Other69
Charitable Organizations1

Operations

Employees (total)
18
Advisory staff (per ADV)
13
Advisory staff (5-yr trend)
'20'26
9 advisors → 13 advisors▲ +44%
Primary office
RICHMOND VA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisersOther Advisory Services
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/25/2026
ADV-W filed at
—
Website
linkedin.com/company/wealthcrossing(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BROUGHTON, ANDREA, LYNN
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
7
Control Persons
BROUGHTON, ANDREA, LYNN
KING, JOHN, KEVIN
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
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001911894
Edgar Registered
Yes
Edgar Filing Count
5
Edgar First Filing Date
2022-02-22
Edgar Last Filing Date
2023-01-31
Edgar 13f Count
5
Edgar 13f Latest AUM Estimate
Filing Date2023-01-31
Accession0001085146-23-000474

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

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
8
Bc Firm IAR Count
8
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
1001 HAXALL POINTSUITE 705RICHMOND, VA 23219
Business
1001 HAXALL POINTSUITE 705RICHMOND, VA 23219
Edgar EIN
364549119
Edgar Recent Filings
13F-HR2023-01-31 · 0001085146-23-000474
13F-HR2022-10-21 · 0001085146-22-003521
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
4641609
Trust Company Affiliate
No

People (9)

9
STUMPF, STEPHANIE, FELTS
IAR · Direct Owner · 37.5%
5217220
BROUGHTON, ANDREA, LYNN
IAR · Direct Owner · 37.5%
4641609
KING, JOHN, KEVIN
IAR · Direct Owner · 37.5%
4708979
WILLIAMS, JOHN, CONSTANTINE
IAR · Direct Owner · 7.5%
7245735
CRAIGHILL, CLAIRE, ELAINE
IAR · Direct Owner · 7.5%
1643898
Bailey, Jonathan
IAR · Executive Officer · 2.5%
7028921
PELOS, CONSTANTINE, ANDREW
Executive Officer · 2.5%
1074631
Kelly Brandon Hazlett
IAR
7290847
MITCHELL JAMES CROWDER
IAR
6651175