DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Sandy Morris Financial & Estate Planning Services, LLC
Latest filing Mar 3, 2026
First filing on the tape Nov 25, 2019 · 16 filings
SEC status approved since Jan 2, 2020
RAUM
$183M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$183M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$45.8M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$183M as of Mar 3, 2026
Feb 13, 2020$109M then
HNW client RAUM$69.5M as of Mar 3, 2026
Feb 13, 2020$25.7M then
State-registered IARs (5.B.3)3 as of Mar 3, 2026
Feb 13, 20204 then
Employees (5.A)8 as of Mar 3, 2026
Feb 13, 202010 then
Private funds: no history
RAUM +20% over the last fiscal year+13% a year over threeIARs 6 to 3offices 1 to 0
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $45.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 192derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $178,834derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, publications, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$114M62%
- High-net-worth individuals$69.5M38%
- Individual clients
- 722reported
- HNW clients
- 45reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,024reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Steven Joseph Zanolli | Tampa, Fl | Jan 5, 2016 | 25 y | 5 |
| Sandeva O'Bryan Morris | Tampa, Fl | Jan 5, 2016 | 15 y | 1 |
| Fouad Shahin | Tampa, Fl | Apr 1, 2026 | 11 y | 0 |
| Anthony Vincent Dimeglio | Tampa, Fl | Jun 1, 2026 | 13 y | 1 |
Advisor movement
3 left, 3 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 75% of current headcount7 left over 36 months
Left, latest
- William Andrew Blackston to Pearl Wealth GroupFeb 6, 2026 · RIA to RIA
- Mia L Vazquez to Northbridge Financial Group, LLCJan 21, 2026 · RIA to RIA
- Thomas John Mcdonald to Raymond James Financial Services Advisors, IncNov 6, 2025 · RIA to affiliated broker-dealer or bank
- Rafael Augusto Urena to Raymond James & Associates, Inc.Jul 9, 2025 · RIA to affiliated broker-dealer or bank
- Michael Lewis Abbott to Valic Financial Advisors, Inc.Apr 1, 2025 · RIA to affiliated broker-dealer or bank
- Kamil Polkowski to Ffo Investments LLCMar 4, 2025 · RIA to RIA
- Matthew William Mckeown to Pearl Wealth GroupFeb 1, 2024 · RIA to RIA
- Whittney D Harvey to Fisher InvestmentsFeb 24, 2022 · RIA to RIA
- Heather Lyn Penrod to Raymond James & Associates, Inc.Sep 27, 2019 · RIA to affiliated broker-dealer or bank
- Scott Evan Greene to Ae Wealth Management, LLCAug 26, 2019 · RIA to RIA
- Ryan Paul O'Leary to International Assets Investment Management, LLCOct 30, 2018 · RIA to affiliated broker-dealer or bank
- Alexander Michael Skijus to True Life Wealth Management, LLCSep 4, 2018 · RIA to a state-registered adviser
Joined, latest
- Anthony Vincent Dimeglio from MML Investors Services, LLCJun 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- Thomas John Mcdonald from LPL Enterprise, LLCOct 28, 2025 · Affiliated broker-dealer or bank to independent RIA
- Mia L Vazquez from Florida Financial Advisors, LLCOct 21, 2025 · Affiliated broker-dealer or bank to independent RIA
- Rafael Augusto Urena from Raymond James & Associates, Inc.Nov 5, 2024 · Affiliated broker-dealer or bank to independent RIA
- Michael Lewis Abbott from Walser Wealth Management Company, A Limited Liability CompanyMar 19, 2024 · RIA to RIA
- Kamil Polkowski from Fisher InvestmentsAug 3, 2023 · RIA to RIA
- William Andrew Blackston from Blackston Financial Advisory Group, LLCOct 10, 2019 · RIA to RIA
- Heather Lyn Penrod from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 17, 2019 · Wirehouse to independent RIA
- Whittney D Harvey from Usaa Investment Services CompanyFeb 8, 2019 · Affiliated broker-dealer or bank to independent RIA
- Scott Evan Greene from Mutual Trust Asset Mgmt., Inc.Jun 5, 2017 · Other
- Ryan Paul O'Leary from Mercer Global Advisors Inc.May 23, 2017 · Other
- Alexander Michael Skijus from Global Financial Private Capital, Inc.Dec 1, 2016 · Other
- Steven Joseph Zanolli from Global Financial Private Capital, Inc.Jan 5, 2016 · Other
- Sandeva O'Bryan Morris from Global Financial Private Capital, Inc.Jan 5, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Global Financial Private Capital, Inc.Jan 18, 2017 · Tampa, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O'Bryan Sandeva Morris · Ownercontrolsince 03/2015 · owns 75% or more
- Joseph Steven Zanolli · Chief Compliance Officercontrolsince 06/2015 · owns less than 5%
Related persons
Schedule D 7.A
- Sandy Morris Insurance Services, LLCreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 4 | 2 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 3, 2026accounts (Item 5.F.2.f) moved from 670.0 to 1,024.0 (+53.0%) between the annual amendments of 2025-02-28 and 2026-03-03; the peer median change was +5.0% (3688 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 96% percentile
- advisor count dropChange between filings · filing Mar 3, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 3.0 (-50.0%) between the annual amendments of 2025-02-28 and 2026-03-03; the peer median change was 0.0% (965 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 1.7% percentile
What changed
consecutive filings, newest first
- Accounts · 670 to 1,024Jun 4, 2025 to Mar 3, 2026
- Advisory employees · 6 to 3Jun 4, 2025 to Mar 3, 2026
- HNW clients · 26 to 45Jun 4, 2025 to Mar 3, 2026
- Individual clients · 644 to 722Jun 4, 2025 to Mar 3, 2026
- Employees · 10 to 8Jun 4, 2025 to Mar 3, 2026
- State-registered IARs · 6 to 3Jun 4, 2025 to Mar 3, 2026
- Other offices · 1 to 0Jun 4, 2025 to Mar 3, 2026
- Discretionary RAUM · $152M to $183MJun 4, 2025 to Mar 3, 2026
- HNW RAUM · $38.9M to $69.5MJun 4, 2025 to Mar 3, 2026
- Individual RAUM · $113M to $114MJun 4, 2025 to Mar 3, 2026
- RAUM · $152M to $183MJun 4, 2025 to Mar 3, 2026
- Financial planning clients · 0 to 0Feb 28, 2025 to Jun 4, 2025
- Accounts · 864 to 670Oct 17, 2024 to Feb 28, 2025
- Advisory employees · 5 to 6Oct 17, 2024 to Feb 28, 2025
- HNW clients · 18 to 26Oct 17, 2024 to Feb 28, 2025
- Individual clients · 846 to 644Oct 17, 2024 to Feb 28, 2025
- Employees · 6 to 10Oct 17, 2024 to Feb 28, 2025
- State-registered IARs · 5 to 6Oct 17, 2024 to Feb 28, 2025
- Other offices · 0 to 1Oct 17, 2024 to Feb 28, 2025
- Discretionary RAUM · $138M to $152MOct 17, 2024 to Feb 28, 2025
- HNW RAUM · $25.4M to $38.9MOct 17, 2024 to Feb 28, 2025
- Individual RAUM · $112M to $113MOct 17, 2024 to Feb 28, 2025
- RAUM · $138M to $152MOct 17, 2024 to Feb 28, 2025
- Accounts · 476 to 864Feb 22, 2023 to Mar 5, 2024
- Advisory employees · 4 to 5Feb 22, 2023 to Mar 5, 2024
- HNW clients · 22 to 18Feb 22, 2023 to Mar 5, 2024
- Individual clients · 454 to 846Feb 22, 2023 to Mar 5, 2024
- Financial planning clients · unset to 0Feb 22, 2023 to Mar 5, 2024
- State-registered IARs · 4 to 5Feb 22, 2023 to Mar 5, 2024
- Discretionary RAUM · $127M to $138MFeb 22, 2023 to Mar 5, 2024
- HNW RAUM · $36.0M to $25.4MFeb 22, 2023 to Mar 5, 2024
- Individual RAUM · $90.7M to $112MFeb 22, 2023 to Mar 5, 2024
- RAUM · $127M to $138MFeb 22, 2023 to Mar 5, 2024
- Accounts · 455 to 476Feb 28, 2022 to Feb 22, 2023
- HNW clients · 31 to 22Feb 28, 2022 to Feb 22, 2023
- Individual clients · 424 to 454Feb 28, 2022 to Feb 22, 2023
- Discretionary RAUM · $149M to $127MFeb 28, 2022 to Feb 22, 2023
- HNW RAUM · $52.4M to $36.0MFeb 28, 2022 to Feb 22, 2023
- Individual RAUM · $96.9M to $90.7MFeb 28, 2022 to Feb 22, 2023
- RAUM · $149M to $127MFeb 28, 2022 to Feb 22, 2023
Signals
9 dated events
- William Andrew Blackston left Sandy Morris Financial & Estate Planning Services, Llc for Pearl Wealth Group (registered 2023-07-11)Feb 6, 2026 · Advisor changed firm · fact
- Mia L Vazquez left Sandy Morris Financial & Estate Planning Services, Llc for Northbridge Financial Group, Llc (registered 2026-02-23)Jan 21, 2026 · Advisor changed firm · fact
- Thomas John Mcdonald left Sandy Morris Financial & Estate Planning Services, Llc for Raymond James Financial Services Advisors, Inc (registered 2026-03-25)Nov 6, 2025 · Advisor changed firm · fact
- Rafael Augusto Urena left Sandy Morris Financial & Estate Planning Services, Llc for Raymond James & Associates, Inc. (registered 2025-07-08)Jul 9, 2025 · Advisor changed firm · fact
- Michael Lewis Abbott left Sandy Morris Financial & Estate Planning Services, Llc for Valic Financial Advisors, Inc. (registered 2025-06-10)Apr 1, 2025 · Advisor changed firm · fact
- Kamil Polkowski left Sandy Morris Financial & Estate Planning Services, Llc for Ffo Investments Llc (registered 2026-08-03)Mar 4, 2025 · Advisor changed firm · fact
- Matthew William Mckeown left Sandy Morris Financial & Estate Planning Services, Llc for Pearl Wealth Group (registered 2024-02-20)Feb 1, 2024 · Advisor changed firm · fact
- Whittney D Harvey left Sandy Morris Financial & Estate Planning Services, Llc for Fisher Investments (registered 2020-12-21)Feb 24, 2022 · Advisor changed firm · fact
- Sandy Morris Financial & Estate Planning Services, Llc filed its initial SEC registration (Form ADV)Nov 25, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 800-589-5534reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 813-443-0879reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/smfprivatewealthreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SANDYMORRISFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 813-443-0879reportedpublic record, Form ADV, Mar 3, 2026
- Team page
- sandymorrisfinancial.com/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $45.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026