SOUND INVESTMENT MANAGEMENT INC
Adviser information for SOUND INVESTMENT MANAGEMENT INC last updated from Form ADV on March 28th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Oregon, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 123 | $211.4M |
| Total | 123 | $211.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 80 | $53.8M |
| HNW Individuals | 43 | $157.6M |
| 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 | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-46570 |
|---|---|
| SEC ERA File Number | 801-46570 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107438 |
| Legal Entity Identifier | None |
Principal Office
8215 TUALATIN SHERWOOD ROAD, SUITE 200TUALATIN
OR
United States
Monday - Friday, 9AMPST TO 3PMPST
Tel: 503-691-7030, Fax: None
Websites
Chief Compliance Officer
MARK CHILD
SENIOR VICE PRESIDENT
10109 BROWN MOORE LANE
MARSHALL
VA
United States
Tel:
540-364-2601
M*****@**********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 |
|---|---|---|---|---|---|
| CHILD, JOHN, LOWELL | Individual | – | PRESIDENT | 10/1993 | 50-75% |
| CHILD, MARK, ALBERT | Individual | – | CHIEF COMPLIANCE OFFICER, SVP | 05/1998 | 10-25% |
| BIALLAS, MARK, J | Individual | – | CHIEF INVESTMENT OFFICER | 01/2023 | 25-50% |