Sorsby Financial Corp.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$21,005,636
Clients
33
30% 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
33
TypicalAverage account size
$636,534
About
Sorsby Financial Corp provides discretionary investment management and stand‑alone financial planning and consulting for individuals, high‑net‑worth clients and charitable organizations. The firm also offers brokerage execution through its affiliated broker‑dealer, and representatives can implement recommendations on a commission basis when clients choose that option.
The firm allocates assets among individual equities, fixed income, mutual funds and ETFs and uses a variety of analytical methods (fundamental, technical, charting and cyclical) across long‑ and short‑term strategies. It generally recommends a single custodian platform but may execute certain fixed‑income or other trades through outside broker‑dealers or prime brokers, which can result in trade‑away or prime‑broker fees.
Distinctive features include its dual registration as both an investment adviser and an SEC‑registered broker‑dealer and its ability to enter into performance‑based fee arrangements with qualified clients, both of which are uncommon among independent advisers. The firm’s brochure also discloses prior regulatory sanctions involving the firm’s principal related to recordkeeping and trade allocations and describes policies intended to address conflicts of interest and personal trading.
Client services
Financial planning
Portfolio management
Non-pension consulting services
Expertise
Wealth management
Fee options
Financial planning fees charged on flat fee basis ranging from $200 to $3,000.
$0 - $10,000,000: 1% $10,000,001+: Negotiable
Brokerage commissions charged on securities transactions when clients choose to purchase investment products through Sorsby Financial Corp's Broker/Dealer; commissions may vary.
Financial planning and consulting services hourly rate between $200-$500 depending on scope and professional.
Performance fee arrangements up to 2% of assets or 20% of gains, agreed and detailed in advisory agreement with qualified clients.
Account minimum: $50,000
Main office location
Sorsby Financial Corp.
4851 Bonita Bay Blvd, Suite 701
Bonita Springs FL 34134, United States
Number of offices
1
Most active in
Sorsby Financial Corp. has reported serving >5 clients in these states in the last 12 months.
Florida · Illinois
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:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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