{
  "crd_number": 133443,
  "slug": "sara-bay-financial-corp-sarasota-fl-133443",
  "primary_business_name": "SARA-BAY FINANCIAL CORP.",
  "legal_name": "SARA-BAY FINANCIAL CORP.",
  "dbas": [],
  "city": "Sarasota",
  "state": "FL",
  "country": "United States",
  "cbsa_code": "35840",
  "metro": {
    "cbsa_code": "35840",
    "common_name": "North Port",
    "msa_name": "North Port-Bradenton-Sarasota, FL",
    "path": "/advisors/fl/north-port"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2014-04-21",
  "years_registered": 12,
  "period": "2026-10-01",
  "filing_date": "2026-04-24",
  "carried_forward": false,
  "raum_total": 396759556.0,
  "raum_discretionary": 396759556.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 5,
  "advisory_employees": 3,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 275493657.0,
      "count": 313
    },
    "high_net_worth_individuals": {
      "raum": 121265899.0,
      "count": 11
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "FL",
    "GA",
    "NC",
    "NH",
    "PA",
    "TX",
    "VA"
  ],
  "websites": [
    "https://facebook.com/sarabayfinancial",
    "https://instagram.com/sara.bay.financial",
    "https://sara-bay.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/133443",
  "city_as_filed": "SARASOTA",
  "url": "https://advisorcensus.com/firm/sara-bay-financial-corp-sarasota-fl-133443",
  "display_name": "Sara-Bay Financial Corp.",
  "summary": "Sara-Bay Financial Corp. is an SEC-registered investment advisory firm in Sarasota, FL, registered since 2014, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 24, 2026.",
  "citation": "AdvisorCensus. Sara-Bay Financial Corp. (CRD 133443): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Sara-Bay Financial Corp. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Sara-Bay Financial Corp. reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Sara-Bay Financial Corp. located?",
      "a": "Sara-Bay Financial Corp.'s principal office is in Sarasota, FL, according to its Form ADV."
    },
    {
      "q": "Is Sara-Bay Financial Corp. registered with the SEC or a state?",
      "a": "Sara-Bay Financial Corp. is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 133443."
    },
    {
      "q": "How much does Sara-Bay Financial Corp. manage?",
      "a": "Sara-Bay Financial Corp. reports $396,759,556 in regulatory assets under management in its Form ADV filing dated April 24, 2026 (100% discretionary)."
    },
    {
      "q": "How have Sara-Bay Financial Corp.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Sara-Bay Financial Corp.: Regulatory assets under management: $256,502,534 in the October 2021 data and $396,759,556 in the October 2026 data, up 55%. Total employees: 5 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Sara-Bay Financial Corp. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (313); high net worth individuals (11)."
    },
    {
      "q": "Which custodians does Sara-Bay Financial Corp. use?",
      "a": "Sara-Bay Financial Corp.'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 Sara-Bay Financial Corp. 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/133443"
    },
    {
      "q": "Does Sara-Bay Financial Corp. state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated April 24, 2026 says: \"There is not an absolute minimum investment required to open a portfolio management account.\" \"There is no account size minimum.\""
    },
    {
      "q": "What changed in Sara-Bay Financial Corp.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $318,307,523 to $396,759,556 (+25%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 256502534.0,
      "total_employees": 5,
      "filing_date": "2021-04-30"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 378368857.0,
      "total_employees": 5,
      "filing_date": "2022-02-25"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 213242017.0,
      "total_employees": 5,
      "filing_date": "2023-02-03"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 251882153.0,
      "total_employees": 5,
      "filing_date": "2024-03-05"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 318307523.0,
      "total_employees": 5,
      "filing_date": "2025-04-25"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 396759556.0,
      "total_employees": 5,
      "filing_date": "2026-04-24"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $318,307,523 to $396,759,556 (+25%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated April 24, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "There is not an absolute minimum investment required to open a portfolio management account.",
          "There is no account size minimum."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "There is not an absolute minimum investment required to open a portfolio management account.",
      "There is no account size minimum."
    ],
    "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/sara-bay-financial-corp-sarasota-fl-133443.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 313,
      "fewer_than_5": false,
      "raum": 275493657.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 11,
      "fewer_than_5": false,
      "raum": 121265899.0
    }
  ],
  "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/133443",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}