Sara Bay Financial Corp.
- Regulatory AUM
- $397M
- Discretionary
- $397M
- Clients
- 324
- Avg AUM / client
- $1.2M
- Accounts
- 924
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 24, 2026
Investments (13F portfolio — 87 positions, $375,424,271)
13F period Jun 30, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Helios Technologies Inc | Com | $102,339,227 | 1,146,658 | 27.3% | 25.8% |
| 2 | Nvidia Corp | Com | $60,978,095 | 304,753 | 16.2% | 15.4% |
| 3 | Centrus Energy Corp Class A | CL A | $24,967,305 | 148,730 | 6.65% | 6.29% |
| 4 | Cisco Sys Inc | Com | $22,380,241 | 190,535 | 5.96% | 5.64% |
| 5 | Jpmorgan Chase & Co | Com | $19,379,896 | 59,206 | 5.16% | 4.88% |
| 6 | Everpure Inc Class A | CL A | $15,593,329 | 197,910 | 4.15% | 3.93% |
| 7 | Amazon.Com Inc | Com | $15,402,246 | 64,623 | 4.1% | 3.88% |
| 8 | Mercadolibre Inc | Com | $10,727,505 | 6,320 | 2.86% | 2.7% |
| 9 | Ishares Bitcoin Trust Etf | ETF | $7,979,313 | 239,691 | 2.13% | 2.01% |
| 10 | Blackrock Inc New | Com | $7,689,595 | 7,997 | 2.05% | 1.94% |
| 11 | Meta Platforms Inc Class A | CL A | $7,565,623 | 13,431 | 2.02% | 1.91% |
| 12 | Apple Inc | Com | $5,216,102 | 18,026 | 1.39% | 1.31% |
| 13 | Seagate Technology H F | SHS | $5,185,910 | 5,374 | 1.38% | 1.31% |
| 14 | Abbvie Inc | Com | $4,562,736 | 18,132 | 1.22% | 1.15% |
| 15 | Cummins Inc | Com | $4,236,467 | 5,940 | 1.13% | 1.07% |
| 16 | Vanguard High Dividend Yield Index Fund Etf Shares | ETF | $3,886,748 | 24,595 | 1.04% | 0.98% |
| 17 | Jabil Inc | Com | $3,673,239 | 9,529 | 0.98% | 0.93% |
| 18 | Emerson Elec Co | Com | $3,391,367 | 23,691 | 0.9% | 0.85% |
| 19 | Broadcom Inc | Com | $2,640,095 | 6,989 | 0.7% | 0.67% |
| 20 | Vanguard International High Dividend Yield Index Fund Etf Shares | ETF | $2,588,169 | 26,356 | 0.69% | 0.65% |
| 21 | Vanguard Ultra Short Treasury Etf | ETF | $2,004,990 | 26,500 | 0.53% | 0.51% |
| 22 | Palo Alto Networks Inc | Com | $1,772,281 | 5,197 | 0.47% | 0.45% |
| 23 | Tesla Inc | Com | $1,736,657 | 4,129 | 0.46% | 0.44% |
| 24 | Rocket Lab Corp Class A | CL A | $1,515,093 | 14,905 | 0.4% | 0.38% |
| 25 | Mara Hldgs Inc | Com | $1,496,370 | 107,730 | 0.4% | 0.38% |
Top 25 of 87 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 313 | $275M | 69.4% |
| High net worth individuals | 11 | $121M | 30.6% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Hettig, Mary, Theresa | Cco | Jan 2019 (8y) | Less than 5% | |
| James Christopher Mills | Officer | CFP | Mar 2019 (7y) | 10% – 25% |
| Benjamin Michael Hard | President | CFP | Feb 2020 (7y) | 75% or more |
| James Michael Hard | Vice President | Feb 2020 (7y) | 10% – 25% |
Undisclosed: 0% – 5% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/24/2026 | 904 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $397M (100% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 24, 2026.
View current Form ADV (SEC/IAPD) ↗