SARA-BAY FINANCIAL CORP.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	Florida, United States

Employees

Total Number of Employees	5
Investment Advisory/Research	3
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	3
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	828	$251.9M
Non-Discretionary	0	$0
Total	828	$251.9M

Clients

Type	Number	RAUM
Individuals	272	$178.4M
HNW Individuals	7	$73.5M
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	1
No. of Financial Planning Clients	0

Services

Advisory Services	Portfolio management for individuals and/or small businesses
Compensation	% of AUM

Identifiers

SEC RIA File Number	801-79508
SEC ERA File Number	801-79508
SEC CIK Numbers	1816444
SEC CRD Numbers	133443
Legal Entity Identifier	None

Principal Office

2201 CANTU COURT
SUITE 102
SARASOTA
FL
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic