SOUND CAPITAL SOLUTIONS LLC
Adviser information for SOUND CAPITAL SOLUTIONS LLC last updated from Form ADV on January 4th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-129056 |
|---|---|
| SEC ERA File Number | 801-129056 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 311034 |
| Legal Entity Identifier | None |
Principal Office
2S406 SENECA DRIVEWHEATON
IL
United States
Monday - Friday, 8:00AM - 5:00PM CST
Tel: 630-853-3300, Fax: None
Chief Compliance Officer
NICHOLAS DALMASO
2S406 SENECA DRIVE
WHEATON
IL
United States
Tel:
630-853-3300
N********@************************M
(Full email address available in API data)
Regulatory Contact
BRIAN MACKENZIE
COMPLIANCE CONSULTANT| PINE ADVISOR SOLUTIONS
501 S. CHERRY ST.
SUITE 610
DENVER
CO
United States
Tel:
413-387-9270
B****@***********************M
(Full email address available in API data)
Industry Affiliates
| SOUND CAPITAL DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SOUND CAPITAL HOLDINGS LLC | Domestic Entity | – | SOLE MEMBER | 08/2020 | > 75% |
| DALMASO, NICHOLAS, NMN | Individual | – | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | 08/2020 | < 5% |
| DALMASO, NICHOLAS, NMN | Individual | SOUND CAPITAL HOLDINGS LLC | SOLE MEMBER | 08/2020 | 25-50% |
| FLOOD, ROBERT, EMMETT | Individual | – | CHIEF FINANCIAL OFFICER | 09/2022 | < 5% |
| DALMASO, DOMINIC, JOSEPH | Individual | – | CHIEF INVESTMENT OFFICER | 09/2022 | < 5% |