SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC
Adviser information for SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC last updated from Form ADV on March 5th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 864 | $137.6M |
| Non-Discretionary | 0 | $0 |
| Total | 864 | $137.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 846 | $112.2M |
| HNW Individuals | 18 | $25.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-117852 |
|---|---|
| SEC ERA File Number | 801-117852 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 187519 |
| Legal Entity Identifier | None |
Principal Office
10015 GALLANT LANETAMPA
FL
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 813-443-0879, Fax: 813-644-7227
Chief Compliance Officer
STEVEN ZANOLLI
10015 GALLANT LANE
TAMPA
FL
United States
Tel:
813-443-0879
Fax:
813-644-7227
S****@***********************M
(Full email address available in API data)
Regulatory Contact
SANDEVA O'BRYAN MORRIS
OWNER
10015 GALLANT LANE
TAMPA
FL
United States
Tel:
813-443-0879
Fax:
813-644-7227
S****@***********************M
(Full email address available in API data)
Industry Affiliates
| SANDY MORRIS INSURANCE SERVICES | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MORRIS, SANDEVA, O'BRYAN | Individual | – | OWNER | 03/2015 | > 75% |
| ZANOLLI, STEVEN, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2015 | < 5% |