{
  "crd_number": 187519,
  "slug": "sandy-morris-financial-and-estate-planning-services-llc-tampa-fl-187519",
  "primary_business_name": "SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC",
  "legal_name": "SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC",
  "dbas": [],
  "city": "Tampa",
  "state": "FL",
  "country": "United States",
  "cbsa_code": "45300",
  "metro": {
    "cbsa_code": "45300",
    "common_name": "Tampa",
    "msa_name": "Tampa-St. Petersburg-Clearwater, FL",
    "path": "/advisors/fl/tampa"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2020-01-02",
  "years_registered": 6,
  "period": "2026-10-01",
  "filing_date": "2026-03-03",
  "carried_forward": false,
  "raum_total": 183125945.0,
  "raum_discretionary": 183125945.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 8,
  "advisory_employees": 3,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 113674691.0,
      "count": 722
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 69451254.0,
      "count": 45
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "periodicals_newsletters",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "FL"
  ],
  "websites": [
    "https://facebook.com/SANDYMORRISFINANCIAL",
    "https://instagram.com/smfprivatewealth",
    "https://linkedin.com/company/smfprivatewealth",
    "https://sandymorrisfinancial.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/187519",
  "city_as_filed": "TAMPA",
  "url": "https://advisorcensus.com/firm/sandy-morris-financial-and-estate-planning-services-llc-tampa-fl-187519",
  "display_name": "Sandy Morris Financial & Estate Planning Services, LLC",
  "summary": "Sandy Morris Financial & Estate Planning Services, LLC is an SEC-registered investment advisory firm in Tampa, FL, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 3, 2026.",
  "citation": "AdvisorCensus. Sandy Morris Financial & Estate Planning Services, LLC (CRD 187519): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Publication of periodicals or newsletters",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Sandy Morris Financial & Estate Planning Services, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Sandy Morris Financial & Estate Planning Services, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Sandy Morris Financial & Estate Planning Services, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 3, 2026 states: Up to $249,999: 1.85% a year; $250,000 to $499,999: 1.75% a year; $500,000 to $999,999: 1.65% a year; $1,000,000 to $1,999,999: 1.5% a year; Above $2,000,000: 1% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Sandy Morris Financial & Estate Planning Services, LLC located?",
      "a": "Sandy Morris Financial & Estate Planning Services, LLC's principal office is in Tampa, FL, according to its Form ADV."
    },
    {
      "q": "Is Sandy Morris Financial & Estate Planning Services, LLC registered with the SEC or a state?",
      "a": "Sandy Morris Financial & Estate Planning Services, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 187519."
    },
    {
      "q": "How much does Sandy Morris Financial & Estate Planning Services, LLC manage?",
      "a": "Sandy Morris Financial & Estate Planning Services, LLC reports $183,125,945 in regulatory assets under management in its Form ADV filing dated March 3, 2026 (100% discretionary)."
    },
    {
      "q": "How have Sandy Morris Financial & Estate Planning Services, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Sandy Morris Financial & Estate Planning Services, LLC: Regulatory assets under management: $138,336,421 in the October 2021 data and $183,125,945 in the October 2026 data, up 32%. Total employees: 7 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Sandy Morris Financial & Estate Planning Services, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (722); high net worth individuals (45)."
    },
    {
      "q": "Which custodians does Sandy Morris Financial & Estate Planning Services, LLC use?",
      "a": "Sandy Morris Financial & Estate Planning Services, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Sandy Morris Financial & Estate Planning Services, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/187519"
    },
    {
      "q": "What changed in Sandy Morris Financial & Estate Planning Services, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 6 to 3. Regulatory assets under management went from $152,033,063 to $183,125,945 (+20%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 138336421.0,
      "total_employees": 7,
      "filing_date": "2021-08-25"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 149358405.0,
      "total_employees": 6,
      "filing_date": "2022-02-28"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 126654773.0,
      "total_employees": 6,
      "filing_date": "2023-02-22"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 137599857.0,
      "total_employees": 6,
      "filing_date": "2024-03-05"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 152033063.0,
      "total_employees": 10,
      "filing_date": "2025-06-04"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 183125945.0,
      "total_employees": 8,
      "filing_date": "2026-03-03"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 6 to 3.",
        "Regulatory assets under management went from $152,033,063 to $183,125,945 (+20%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 3, 2026",
    "provided_by_the_firm": false,
    "tiers": [
      {
        "band": "Up to $249,999",
        "rate": "1.85%"
      },
      {
        "band": "$250,000 to $499,999",
        "rate": "1.75%"
      },
      {
        "band": "$500,000 to $999,999",
        "rate": "1.65%"
      },
      {
        "band": "$1,000,000 to $1,999,999",
        "rate": "1.5%"
      },
      {
        "band": "Above $2,000,000",
        "rate": "1%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "Up to $249,999: 1.85% a year",
          "$250,000 to $499,999: 1.75% a year",
          "$500,000 to $999,999: 1.65% a year",
          "$1,000,000 to $1,999,999: 1.5% a year",
          "Above $2,000,000: 1% a year"
        ],
        "quotes": [
          "For our services, client will be charged an annual fee based upon the amount of assets under management. The following is an example of such a fee schedule:",
          "Assets under Management Annual Fees\n$0 – $249,999 1.85%\n$250,000 – $499,999 1.75%\n$500,000 – $999,999 1.65%\n$1,000,000 – $1,999,999 1.50%\n$2,000,000+ 1.00%"
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": 0.0,
          "max": 249999.0,
          "rate_pct": 1.85
        },
        {
          "min": 250000.0,
          "max": 499999.0,
          "rate_pct": 1.75
        },
        {
          "min": 500000.0,
          "max": 999999.0,
          "rate_pct": 1.65
        },
        {
          "min": 1000000.0,
          "max": 1999999.0,
          "rate_pct": 1.5
        },
        {
          "min": 2000000.0,
          "max": null,
          "rate_pct": 1.0
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "For our services, client will be charged an annual fee based upon the amount of assets under management. The following is an example of such a fee schedule:",
      "Assets under Management Annual Fees\n$0 – $249,999 1.85%\n$250,000 – $499,999 1.75%\n$500,000 – $999,999 1.65%\n$1,000,000 – $1,999,999 1.50%\n$2,000,000+ 1.00%"
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/sandy-morris-financial-and-estate-planning-services-llc-tampa-fl-187519.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 722,
      "fewer_than_5": false,
      "raum": 113674691.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 45,
      "fewer_than_5": false,
      "raum": 69451254.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/187519",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}