{ "crd_number": 39437, "slug": "sorsby-financial-corp-bonita-springs-fl-39437", "primary_business_name": "SORSBY FINANCIAL CORP", "legal_name": "SORSBY FINANCIAL CORP.", "dbas": [], "city": "Bonita Springs", "state": "FL", "country": "United States", "cbsa_code": "15980", "metro": { "cbsa_code": "15980", "common_name": "Cape Coral", "msa_name": "Cape Coral-Fort Myers, FL", "path": "/advisors/fl/cape-coral" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2009-06-01", "years_registered": 17, "period": "2026-10-01", "filing_date": "2026-03-25", "carried_forward": false, "raum_total": 21005636.0, "raum_discretionary": 0.0, "raum_non_discretionary": 21005636.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 6625861.0, "count": 23 }, "high_net_worth_individuals": { "raum": 14379775.0, "count": 10 } }, "compensation_types": [ "commissions", "fixed", "hourly", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "financial_planning", "other", "portfolio_management_individuals", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 3, "states_registered": [ "FL", "IL" ], "websites": [ "https://sorsbyfinancial.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/39437", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" } ], "city_as_filed": "BONITA SPRINGS", "url": "https://advisorcensus.com/firm/sorsby-financial-corp-bonita-springs-fl-39437", "display_name": "Sorsby Financial Corp", "summary": "Sorsby Financial Corp is a state-registered investment advisory firm in Bonita Springs, FL, registered since 2009, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 25, 2026.", "citation": "AdvisorCensus. Sorsby Financial Corp (CRD 39437): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)", "Commissions", "Performance-based fees" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Other" ], "quick_answers": [ { "q": "How is Sorsby Financial Corp compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Sorsby Financial Corp reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); commissions; performance-based fees." }, { "q": "Where is Sorsby Financial Corp located?", "a": "Sorsby Financial Corp's principal office is in Bonita Springs, FL, according to its Form ADV." }, { "q": "Is Sorsby Financial Corp registered with the SEC or a state?", "a": "Sorsby Financial Corp is a state-registered investment advisory firm, registered since 2009. Status as filed: APPROVED. CRD 39437." }, { "q": "How much does Sorsby Financial Corp manage?", "a": "Sorsby Financial Corp reports $21,005,636 in regulatory assets under management in its Form ADV filing dated March 25, 2026 (0% discretionary)." }, { "q": "What types of clients does Sorsby Financial Corp serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (23); high net worth individuals (10)." }, { "q": "Does Sorsby Financial Corp report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/39437" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/sorsby-financial-corp-bonita-springs-fl-39437.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 23, "fewer_than_5": false, "raum": 6625861.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 10, "fewer_than_5": false, "raum": 14379775.0 } ], "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.", "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/39437", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }