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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SARA-BAY FINANCIAL CORP.

CRD 133443

SARASOTA, FL

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:b5590671-302b-6b5c-fa01-8eb5e8d3f49f

Data as of Apr 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 3
On other graphs: 0
Observed: Mar 29, 2012 to Apr 24, 2026
28 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $397MItem 5.F on the latest filing (2026-04-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $397M
Private client RAUM: $397MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $132Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 924
Individual clients: 313
High net worth clients: 11
Custody, client assets: $156M
SEC number: 801-79508
CIK: 1816444
CRD: 133443
Filings on the tape: 28
First filed: Mar 29, 2012
Latest filed: Apr 24, 2026
Organised: Corporation, FL
Website: sara-bay.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BENJAMIN MICHAEL HARD	Certified Financial Planner	SARASOTA, FL	6	25	3	no
JAMES MICHAEL HARD	n/a	SARASOTA, FL	1	43	2	no
JAMES CHRISTOPHER MILLS	Certified Financial Planner	SARASOTA, FL	0	14	3	no

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
HARD, BENJAMIN, MICHAEL	President	E	yes	02/2020	Mar 29, 2012	Mar 5, 2024
HARD, JAMES, MICHAEL	VICE PRESIDENT	B	yes	02/2020	Mar 29, 2012	Mar 5, 2024
HETTIG, MARY, THERESA	Cco	Na	no	01/2019	Mar 28, 2019	Mar 5, 2024
MILLS, JAMES, CHRISTOPHER	Officer	B	no	03/2019	Feb 25, 2022	Mar 5, 2024

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; showing 13 of 15

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 24, 2026	$397M	$397M	5	3	0	n/a	n/a
2024	Apr 25, 2025	$318M	$318M	5	3	0	n/a	n/a
2023	Mar 5, 2024	$252M	$252M	5	3	0	n/a	n/a
2022	Feb 3, 2023	$213M	$213M	5	3	0	n/a	n/a
2021	Feb 25, 2022	$378M	$378M	5	3	0	n/a	n/a
2020	Mar 19, 2021	$257M	$257M	5	3	0	n/a	n/a
2019	Mar 11, 2020	$222M	$222M	5	3	0	n/a	n/a
2018	Mar 28, 2019	$138M	$138M	5	3	1	n/a	n/a
2017	Feb 22, 2018	$173M	$142M	4	2	1	n/a	n/a
2016	Mar 29, 2017	$128M	$104M	3	2	n/a	n/a	n/a
2015	Mar 29, 2016	$114M	$62.5M	3	3	n/a	n/a	n/a
2014	Mar 30, 2015	$114M	$54.4M	4	3	n/a	n/a	n/a
2011	Mar 29, 2012	$81.5M	$39.1M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2025	$397M	$318M	24.6%	$213M	23.0%	5	5	0	0

Relationships

Registered with (5)

← JAMES CHRISTOPHER MILLSAdvisorregistration: previous registration
Mar 1, 2019 to Dec 31, 2019factForm ADV
← JAMES MICHAEL HARDAdvisorregistration: previous registration
Mar 18, 1998 to Dec 31, 2019factForm ADV
← BENJAMIN MICHAEL HARDAdvisorregistration: previous registration
Mar 5, 2010 to Dec 31, 2019factForm ADV
← DAVID MICHAEL BENEVENTOAdvisorregistration: previous registration
Feb 9, 2018 to Jun 15, 2018factForm ADV
← ESTHER KUZNETZAdvisorregistration: previous registration
Mar 18, 1998 to Jun 1, 2009factForm ADV

Controls (2)

← HARD, JAMES, MICHAELOwnerVICE PRESIDENT, ownership code B, individual
Mar 29, 2012 to Mar 5, 2024factForm ADV
← HARD, BENJAMIN, MICHAELOwnerPRESIDENT, ownership code E, individual
Mar 29, 2012 to Mar 5, 2024factForm ADV

Owns (2)

← MILLS, JAMES, CHRISTOPHEROwnerOFFICER, ownership code B, individual
Feb 25, 2022 to Mar 5, 2024factForm ADV
← HETTIG, MARY, THERESAOwnerCCO, ownership code NA, individual
Mar 28, 2019 to Mar 5, 2024factForm ADV

Dated events

Occurred
Feb 3, 2023
Regulatory AUM changed
Sara-Bay Financial Corp. reported RAUM $213.2M, down 44% from $378.4M (2022-11-09 to 2023-02-03)
Form ADVobserved 6 days ago
$-165M
Occurred
Feb 25, 2022
Regulatory AUM changed
Sara-Bay Financial Corp. reported RAUM $378.4M, up 48% from $256.5M (2021-04-30 to 2022-02-25)
Form ADVobserved 6 days ago
$122M
Occurred
Mar 28, 2014
First Form ADV filing
Sara-Bay Financial Corp. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b5590671-302b-6b5c-fa01-8eb5e8d3f49f
First observed: Mar 29, 2012
Last observed: Apr 24, 2026 5 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.

SARA-BAY FINANCIAL CORP.

CRD 133443

SARASOTA, FL

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:b5590671-302b-6b5c-fa01-8eb5e8d3f49f

Data as of Apr 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:27 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BENJAMIN MICHAEL HARD

Certified Financial Planner

SARASOTA, FL

JAMES MICHAEL HARD

n/a

SARASOTA, FL

JAMES CHRISTOPHER MILLS

Certified Financial Planner

SARASOTA, FL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HARD, BENJAMIN, MICHAEL

President

yes

02/2020

Mar 29, 2012

Mar 5, 2024

HARD, JAMES, MICHAEL

VICE PRESIDENT

yes

02/2020

Mar 29, 2012

Mar 5, 2024

HETTIG, MARY, THERESA

Cco

01/2019

Mar 28, 2019

Mar 5, 2024

MILLS, JAMES, CHRISTOPHER

Officer

03/2019

Feb 25, 2022

Mar 5, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 24, 2026

$397M

n/a

2024

Apr 25, 2025

$318M

n/a

2023

Mar 5, 2024

$252M

n/a

2022

Feb 3, 2023

$213M

n/a

2021

Feb 25, 2022

$378M

n/a

2020

Mar 19, 2021

$257M

n/a

2019

Mar 11, 2020

$222M

n/a

2018

Mar 28, 2019

$138M

n/a

2017

Feb 22, 2018

$173M

$142M

n/a

2016

Mar 29, 2017

$128M

$104M

n/a

2015

Mar 29, 2016

$114M

$62.5M

n/a

2014

Mar 30, 2015

$114M

$54.4M

n/a

2011

Mar 29, 2012

$81.5M

$39.1M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$397M

$318M

24.6%

$213M

23.0%