SourcingSourcing

LOCKERMAN FINANCIAL GROUP, INC

A69
CRD 316860·SEC 801-122651·NEWPORT BEACH, CA
AUM
$110.1M
$100M-$500M
Est. Revenue
$1.1M
@ 1% on AUM
Est. EBITDA
$330K
@ 30% margin
Est. Deal Value
$2.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
LOCKERMAN FINANCIAL GROUP, INC
CRD
316860
SEC file #
801-122651
EIN
872992325
DBA names
—

Economics

AUM
$110.1M
AUM band
$100M-$500M
AUM trajectory
'22'26
$129.1M → $110.1M▼ -15%
Client mix
Individuals High Net Worth35
Individuals Other34

Operations

Employees (total)
1
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'22'26
1 advisors → 1 advisors▬ 0%
Primary office
NEWPORT BEACH CA
Branches
—

Custodian & Brokerage

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

Filings

Latest ADV filing
01/23/2026
ADV-W filed at
—
Website
linkedin.com/company/lockerman-financial-group(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LISA L. LOCKERMAN LIVING TRUST
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
2
Control Persons
LISA L. LOCKERMAN LIVING TRUST
LOCKERMAN, LISA, LYNN
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:lockerman.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001906539
Edgar Registered
Yes
Edgar Filing Count
20
Edgar First Filing Date
2022-05-10
Edgar Last Filing Date
2026-04-14
Edgar 13f Count
18
Edgar 13f Latest AUM Estimate
Filing Date2026-04-14
Accession0001906539-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

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
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab6
Fidelity4
E*trade4
Edgar Addresses
Mailing
4695 MACARTHUR COURTSUITE 490NEWPORT BEACH, CA 92660
Business
4695 MACARTHUR COURTSUITE 490NEWPORT BEACH, CA 92660
Edgar EIN
872992325
Edgar Recent Filings
13F-HR2026-04-14 · 0001906539-26-000002
13F-HR2026-01-21 · 0001906539-26-000001
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
No

People (1)

1
LOCKERMAN, LISA, LYNN
IAR · Executive Officer · 2.5%
2209271