S
SOL Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$9,760,502
This total excludes 16 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
20
10% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
20
Average account size
$488,025
About
Sol Financial is a small, independent advisory firm that provides discretionary portfolio management and financial planning to a limited client base of individuals — including high-net-worth clients — and, unusually for a firm of its size, also serves charitable organizations, pension and profit-sharing plans, and investment-company clients. The firm additionally offers venture capital advisory services and may advise on private placements and direct investments in early- and growth-stage companies for eligible, accredited clients.
The firm documents client objectives in written Investment Policy Statements and generally operates under discretionary authority, employing a mix of analytical methods (fundamental, quantitative, technical, charting and modern portfolio theory) across instruments ranging from mutual funds, ETFs and fixed income to options, margin transactions and private placements. For venture capital engagements the firm performs sourcing, due diligence, portfolio construction and ongoing monitoring, and limits participation to clients who meet suitability and eligibility requirements while disclosing the speculative and illiquid nature of those investments.
What is distinctive is the combination of a solo-practitioner model with atypical client types and VC-focused services, alongside other financial-industry affiliations: supervised persons act as licensed insurance agents and real estate sales associates, which the firm discloses and documents as potential conflicts of interest. The firm requires custody through Schwab Institutional, withdraws advisory fees directly from client accounts, and describes policies for trade allocation, soft-dollar benefits, and conflict disclosures intended to mitigate the effects of its outside business activities.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Private / alternative investments
Concentrated stock management
Occupation focus
Founder/Business Owner
Executive
Fee options
Financial planning fixed fees range from $2,500 to $25,000; Venture capital advisory fixed fees range from $5,000 to $50,000 depending on complexity and scope
$0 - $999,999: 1.75% $1,000,000 - $4,999,999: 1.50% $5,000,000+: 1.25%
Main office location
SOL Financial
2665 S Bayshore Dr, Suite 220/94
Miami FL 33133, United States
Number of offices
1
Most active in
SOL Financial has reported serving >5 clients in these states in the last 12 months.
California · Florida · Texas
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
-
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.
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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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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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