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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

SANFORD ADVISORY

SANFORD ADVISORY SERVICES, LLC, CRD 151388

PORTAGE, MI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:744dbaa3-bb50-0005-58ca-60e417b359d6

Data as of Mar 30, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 10
On other graphs: 0
Observed: Nov 4, 2020 to Mar 30, 2023
9 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 4
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-119924
CRD: 151388
Filings on the tape: 9
First filed: Nov 4, 2020
Latest filed: Mar 30, 2023
Organised: Limited Liability Company, Michigan

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BUMGART, LORI, JO	CHIEF COMPLIANCE OFFICER	Na	yes	10/2020	Nov 4, 2020	Mar 30, 2023
KERSTETTER, BRENT, WALTER	Member	Na	yes	08/2009	Nov 4, 2020	Mar 30, 2023
MERCER GLOBAL ADVISORS INC.	PARENT COMPANY	E	yes	04/2022	May 13, 2022	Mar 30, 2023
SANFORD, TODD, ARTHUR	MANAGING MEMBER	Na	yes	08/2009	Nov 4, 2020	Mar 30, 2023
WILLIAMS, SCOTT, MICHAEL	Member	Na	yes	08/2009	Nov 4, 2020	Mar 30, 2023

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2022	Mar 30, 2023	n/a	n/a	4	3	n/a	n/a
2021	Mar 22, 2022	$958M	$937M	8	7	n/a	n/a
2020	Feb 24, 2021	$821M	$801M	7	7	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	n/a	$958M	n/a	n/a	n/a	4	8	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERCER GLOBAL ADVISORS INC.	3	Jul 5, 2023	Sep 17, 2024	PORTAGE, MI	Firm absorbed	Other	100.0%
MERCER GLOBAL ADVISORS INC.	4	Mar 10, 2023	May 25, 2022	PORTAGE, MI	Firm absorbed	RIA to RIA	57.1%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	4	Oct 16, 2020	Feb 7, 2020	PORTAGE, MI	Team lift out	Ibd to RIA	0.1%

Relationships

Controls (5)

← SANFORD, TODD, ARTHUROwnerMANAGING MEMBER, ownership code NA, individual
Nov 4, 2020 to presentfactForm ADV
← MERCER GLOBAL ADVISORS INC.OwnerPARENT COMPANY, ownership code E, domestic entity
May 13, 2022 to presentfactForm ADV
← BUMGART, LORI, JOOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 4, 2020 to presentfactForm ADV
← KERSTETTER, BRENT, WALTEROwnerMEMBER, ownership code NA, individual
Nov 4, 2020 to presentfactForm ADV
← WILLIAMS, SCOTT, MICHAELOwnerMEMBER, ownership code NA, individual
Nov 4, 2020 to presentfactForm ADV

Moved with (2)

→ MERCER GLOBAL ADVISORS INC.Registered adviser3 advisors, firm absorbed, same day
Jul 5, 2023 to Sep 17, 2024factForm ADV
← RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviser4 advisors, team lift out, same day
Oct 16, 2020 to Feb 7, 2020factForm ADV

Registered with (7)

← LORI JO BUMGARTAdvisorregistration: previous registration
Nov 20, 2015 to Jul 5, 2023factForm ADV
← KRISTEN ANN CORDELLAdvisorregistration: previous registration
Dec 15, 2020 to Jul 5, 2023factForm ADV
← Madeline BradleyAdvisorregistration: previous registration
May 17, 2021 to Jul 5, 2023factForm ADV
← BRENT WALTER KERSTETTERAdvisorregistration: previous registration
Sep 28, 2010 to Mar 10, 2023factForm ADV
← SCOTT MICHAEL WILLIAMSAdvisorregistration: previous registration
Sep 28, 2010 to Mar 10, 2023factForm ADV
← STEPHEN NICHOLAS-JENSON BONDAdvisorregistration: previous registration
May 9, 2012 to Mar 10, 2023factForm ADV
← ELIZABETH FELICIA YUNKERAdvisorregistration: previous registration
Feb 7, 2020 to Mar 10, 2023factForm ADV

Dated events

Occurred
Jul 5, 2023
Firm absorbed
Sanford Advisory's advisors moved to Mercer Global Advisors Inc. (Portage, MI): 3 of 3 registered, on the same day
Form ADVobserved 5 days ago
3 advisors
Occurred
Jul 5, 2023
Advisor changed firm
Kristen Ann Cordell left Sanford Advisory for Mercer Global Advisors Inc. (registered 2022-05-26)
Form ADVobserved 5 days ago
Occurred
Jul 5, 2023
Advisor changed firm
Lori Jo Bumgart left Sanford Advisory for Mercer Global Advisors Inc. (registered 2022-06-17)
Form ADVobserved 5 days ago
Occurred
Jul 5, 2023
Advisor changed firm
Madeline Bradley left Sanford Advisory for Mercer Global Advisors Inc. (registered 2024-09-17)
Form ADVobserved 5 days ago
Occurred
Mar 10, 2023
Firm absorbed
Sanford Advisory's advisors moved to Mercer Global Advisors Inc. (Portage, MI): 4 of 7 registered, on the same day
Form ADVobserved 5 days ago
4 advisors
Occurred
Mar 10, 2023
Advisor changed firm
Elizabeth Felicia Yunker left Sanford Advisory for Mercer Global Advisors Inc. (registered 2022-05-24)
Form ADVobserved 5 days ago
Occurred
Mar 10, 2023
Advisor changed firm
Scott Michael Williams left Sanford Advisory for Mercer Global Advisors Inc. (registered 2022-05-24)
Form ADVobserved 5 days ago
Occurred
Mar 10, 2023
Advisor changed firm
Stephen Nicholas-Jenson Bond left Sanford Advisory for Mercer Global Advisors Inc. (registered 2022-05-25)
Form ADVobserved 5 days ago
Occurred
Mar 10, 2023
Advisor changed firm
Brent Walter Kerstetter left Sanford Advisory for Mercer Global Advisors Inc. (registered 2022-05-24)
Form ADVobserved 5 days ago
Occurred
Nov 4, 2020
First Form ADV filing
Sanford Advisory Services filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:744dbaa3-bb50-0005-58ca-60e417b359d6
First observed: Nov 4, 2020
Last observed: Mar 30, 2023 42 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SANFORD ADVISORY

SANFORD ADVISORY SERVICES, LLC, CRD 151388

PORTAGE, MI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:744dbaa3-bb50-0005-58ca-60e417b359d6

Data as of Mar 30, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:44 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BUMGART, LORI, JO

CHIEF COMPLIANCE OFFICER

yes

10/2020

Nov 4, 2020

Mar 30, 2023

KERSTETTER, BRENT, WALTER

Member

yes

08/2009

Nov 4, 2020

Mar 30, 2023

MERCER GLOBAL ADVISORS INC.

PARENT COMPANY

yes

04/2022

May 13, 2022

Mar 30, 2023

SANFORD, TODD, ARTHUR

MANAGING MEMBER

yes

08/2009

Nov 4, 2020

Mar 30, 2023

WILLIAMS, SCOTT, MICHAEL

Member

yes

08/2009

Nov 4, 2020

Mar 30, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 30, 2023

n/a

2021

Mar 22, 2022

$958M

$937M

n/a

2020

Feb 24, 2021

$821M

$801M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

n/a

$958M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERCER GLOBAL ADVISORS INC.

Jul 5, 2023

Sep 17, 2024

PORTAGE, MI

Firm absorbed

Other

100.0%

MERCER GLOBAL ADVISORS INC.

Mar 10, 2023

May 25, 2022

PORTAGE, MI

Firm absorbed

RIA to RIA

57.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Oct 16, 2020

Feb 7, 2020

PORTAGE, MI

Team lift out

Ibd to RIA

0.1%