SOUNDVIEW ADVISORS
SOUNDVIEW ADVISORS, INC. Legal Name
Adviser information for SOUNDVIEW ADVISORS last updated from Form ADV on March 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 891 | $293.8M |
| Non-Discretionary | 167 | $51.3M |
| Total | 1,058 | $345.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 79 | $42.1M |
| HNW Individuals | 101 | $302.1M |
| 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 | 1 | $55,066 |
| Charitable organizations | 1 | $795,393 |
| 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 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-68960 |
|---|---|
| SEC ERA File Number | 801-68960 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 114437 |
| Legal Entity Identifier | None |
Principal Office
1441 WEST BAY DRIVESUITE 201
OLYMPIA
WA
United States
Monday - Friday, 8 A.M. TO 4:30 P.M.
Tel: 360-867-9890, Fax: 360-867-9848
Chief Compliance Officer
NATE PORTER
CHIEF OPERATING OFFICER
1441 WEST BAY DRIVE
SUITE 201
OLYMPIA
WA
United States
Tel:
360-867-9890
Fax:
360-867-9848
N**********@********************M
(Full email address available in API data)
Regulatory Contact
KEVIN SLATER
PRESIDENT
1441 WEST BAY DRIVE
SUITE 201
OLYMPIA
WA
United States
Tel:
360-867-9890
Fax:
360-867-9848
K***********@********************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 |
|---|---|---|---|---|---|
| SLATER, KEVIN, LEE | Individual | – | PRESIDENT | 01/2007 | 25-50% |
| RIGG, KEVIN, M | Individual | – | TREASURER & CHIEF TECHNOLOGY OFFICER | 10/2009 | 25-50% |
| PORTER, NATHAN, WALTER | Individual | – | CHIEF OPERATING OFFICER AND SECRETARY | 01/2021 | < 5% |
| PORTER, NATHAN, WALTER | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2021 | < 5% |