M
Mainland Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$41,640,566
Clients
25
52% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
25
TypicalAverage account size
$1,665,623
About
Mainland Financial is a single-advisor, fee-only investment advisory firm that serves individuals, trusts, and small-business owners with discretionary portfolio management and separate hourly financial planning engagements. The firm provides ongoing portfolio management services alongside comprehensive and limited financial planning, and includes tax planning in its financial planning work while not offering tax preparation or insurance sales.
The firm’s investment process combines fundamental and technical analysis and primarily uses exchange-listed stocks, bonds, non‑leveraged ETFs, CDs and money‑market instruments, with portfolios governed by a written Investment Policy Statement and daily monitoring and quarterly account reviews. Clients grant discretionary trading authority for managed accounts, and the firm prepares quarterly performance reports using third‑party portfolio software while recommending a national custodian for trade execution and custody.
Compared with many peers, Mainland Financial operates with a small client roster and a single advisor managing a meaningful amount of assets, and its practice includes relatively large account and annual minimums for newer managed accounts and an hourly planning fee model that typically produces a multi‑thousand‑dollar initial plan cost. The firm also maintains a fee‑only stance (no commissions), does not offer wrap or insurance products, and discloses that it may pass through certain custodian or portfolio‑management software charges to clients.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
General tax planning
Wealth management
Cash flow / budgeting
Occupation focus
Founder/Business Owner
Fee options
$0 - $250,000: 1.50% $250,001 - $500,000: 1.25% $500,001 - $1,000,000: 0.95% $1,000,001 - $5,000,000: 0.85% $5,000,001+: 0.75%
$650 per hour for financial planning services
Account minimum: $3,000,000 Minimum fee: $30,000 annually (overriding minimum management fee) Fee-only: Yes, fee-only advisory firm; no commissions accepted
Main office location
Mainland Financial
6151 Lake Osprey Dr, Suite 300
Sarasota FL 34240-8419, United States
Number of offices
1
Most active in
Mainland Financial has reported serving >5 clients in these states in the last 12 months.
California · Florida
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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