# Sara-Bay Financial Corp.

> 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.

- CRD: 133443
- Filed as: SARA-BAY FINANCIAL CORP.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Sarasota, FL
- Filing period: October 2026
- Form ADV filing dated: April 24, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/133443
- AdvisorCensus page: https://advisorcensus.com/firm/sara-bay-financial-corp-sarasota-fl-133443

## Quick answers

**How is Sara-Bay Financial Corp. compensated?**
On its Form ADV (Item 5.E, October 2026), Sara-Bay Financial Corp. reports these compensation arrangements: a percentage of assets under its management.

**Where is Sara-Bay Financial Corp. located?**
Sara-Bay Financial Corp.'s principal office is in Sarasota, FL, according to its Form ADV.

**Is Sara-Bay Financial Corp. registered with the SEC or a state?**
Sara-Bay Financial Corp. is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 133443.

**How much does Sara-Bay Financial Corp. manage?**
Sara-Bay Financial Corp. reports $396,759,556 in regulatory assets under management in its Form ADV filing dated April 24, 2026 (100% discretionary).

**How have Sara-Bay Financial Corp.'s assets and staff changed since 2021?**
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.

**What types of clients does Sara-Bay Financial Corp. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (313); high net worth individuals (11).

**Which custodians does Sara-Bay Financial Corp. use?**
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.

**Does Sara-Bay Financial Corp. report any disciplinary disclosures?**
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

**Does Sara-Bay Financial Corp. state an account minimum?**
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."

**What changed in Sara-Bay Financial Corp.'s recent Form ADV filings?**
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).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated April 24, 2026)

- Account minimum: None

> There is not an absolute minimum investment required to open a portfolio management account.

> There is no account size minimum.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $396,759,556
- Discretionary: $396,759,556
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 313 | $275,493,657 |
| High net worth individuals | 11 | $121,265,899 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2014 (12 years)
- Employees: 5 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, GA, NC, NH, PA, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- sara-bay.com
- Facebook @sarabayfinancial
- Instagram @sara.bay.financial

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $256,502,534 | 5 | April 30, 2021 |
| October 2022 | $378,368,857 | 5 | February 25, 2022 |
| October 2023 | $213,242,017 | 5 | February 3, 2023 |
| October 2024 | $251,882,153 | 5 | March 5, 2024 |
| October 2025 | $318,307,523 | 5 | April 25, 2025 |
| October 2026 | $396,759,556 | 5 | April 24, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $318,307,523 to $396,759,556 (+25%).
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sara-Bay Financial Corp. (CRD 133443): Form ADV filing data as of October 2026.