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LBK Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$14,598,233
Clients
8
63% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
8
LowAverage account size
$1,824,779
About
LBK Financial provides discretionary wealth management and financial planning to a narrow client base that includes individuals, high‑net‑worth clients, trusts, estates, and small businesses. The firm manages approximately $14.6 million in client assets and offers portfolio management, financial planning, and ongoing consultation tailored to each client’s objectives.
Portfolios are customized primarily with diversified ETFs and individual equities, and the firm uses a blend of fundamental and technical analysis to inform selection and timing while managing accounts within predetermined risk parameters. Accounts are managed on a discretionary basis, clients may impose investment restrictions, and the firm emphasizes long‑term portfolio construction with attention to volatility control.
What is distinctive about the firm is its very small client roster relative to its assets under management and the principal’s extensive compliance and regulatory background at major financial institutions and state regulatory agencies, which informs its policies and procedures. The firm effects third‑party transfers using standing letters of authorization (SLOAs) — a practice that results in being deemed to have custody under SEC guidance — and it does not vote client proxies.
Client services
Financial planning
Portfolio management
Expertise
Passive / index investing
Fee options
$500 to $5,000 depending on service scope
$0 - $250,000: 1.00% $250,001 - $1,000,000: 0.90% $1,000,001 - $5,000,000: 0.65% $5,000,001+: 0.45%
$175 per hour
Main office location
LBK Financial LLC
51 Parsippany Road
Whippany NJ 07981, United States
Number of offices
1
Most active in
LBK Financial LLC has reported serving >5 clients in these states in the last 12 months.
New Jersey
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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