Sbk Financial, Inc.
- Regulatory AUM
- $1.5B
- Discretionary
- $1.5B
- Clients
- 267
- Avg AUM / client
- $5.8M
- Accounts
- 1,318
- Employees
- 18
AUM over time
Annual snapshots from Form ADV filings · as of Mar 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 69 | $24.6M | 1.6% |
| High net worth individuals | 197 | $1.5B | 96.8% |
| Charitable organizations | 1 | $24.9M | 1.62% |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Kevin King | President | CFP | Mar 2004 (22y) | 25% – 50% |
| Andrea Lynn Broughton | Chief Executive Officer / Partner (04/2005) | Jul 2005 (21y) | 25% – 50% | |
| Stephanie Felts Stumpf | Director / Partner (12/2017) | CFP Personal Financial Specialist | Mar 2006 (20y) | 25% – 50% |
| Claire Elaine Craighill | Director / Partner (12/2017) | CFP | Apr 2007 (19y) | 5% – 10% |
| Jonathan Bailey | Partner | CFP | Jan 2019 (8y) | Less than 5% |
| John Constantine Williams | Senior Tax Advisor / Partner | CFP | Jan 2020 (7y) | 5% – 10% |
| Pelos, Constantine, Andrew | Chief Compliance Officer | Jul 2023 (3y) | Less than 5% | |
| Kelly Brandon Hazlett | Registered representative | Sep 2020 (6y) | ||
| Mitchell James Crowder | Registered representative | CFP | Aug 2022 (4y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/25/2026 | 973 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $1.5B (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 25, 2026.
View current Form ADV (SEC/IAPD) ↗