SOUND FINANCIAL, LLC
Adviser information for SOUND FINANCIAL, LLC last updated from Form ADV on March 19th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 732 | $124.6M |
| Non-Discretionary | 15 | $17.5M |
| Total | 747 | $142.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 655 | $63.6M |
| HNW Individuals | 52 | $78.5M |
| 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 | 2 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Insurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 142.1M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SOUND FINANCIAL GROUP WRAP FEE PROGRAM | SOUND FINANCIAL, LLC |
Identifiers
| SEC RIA File Number | 801-125761 |
|---|---|
| SEC ERA File Number | 801-125761 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 292271 |
| Legal Entity Identifier | None |
Principal Office
6131 92ND AVE NELAKE STEVENS
WA
United States
NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONLY, NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONLY
Tel: 425-332-6568, Fax: N/A
Chief Compliance Officer
CORY SHEPHERD
PRESIDENT & CHIEF COMPLIANCE OFFICER
6131 92ND AVE NE
LAKE STEVENS
WA
United States
Tel:
425-332-6568
Fax:
N/A
C************@********M
(Full email address available in API data)
Regulatory Contact
PAUL ADAMS
CEO
6131 92ND AVE NE
LAKE STEVENS
WA
United States
Tel:
425-332-6568
Fax:
N/A
P*********@********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ADAMS, PAUL, L | Individual | – | CEO | 03/2015 | < 5% |
| SHEPHERD, CORY, EDWIN | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 02/2018 | < 5% |
| GALT'S REFUGE LLC | Domestic Entity | – | OWNER | 01/2021 | 50-75% |
| ADAMS, PAUL, L | Individual | GALT'S REFUGE LLC | OWNER | 01/2021 | 50-75% |
| TRJE CAPITAL LLC | Domestic Entity | – | OWNER | 01/2021 | 10-25% |
| CORDAN LLC | Domestic Entity | – | OWNER | 01/2021 | 25-50% |
| SHEPHERD, CORY, EDWIN | Individual | CORDAN LLC | OWNER | 01/2021 | 25-50% |
| Miller, Jeffrey, Frank | Individual | TRJE CAPITAL LLC | OWNER | 01/2021 | > 75% |