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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SONATA CAPITAL GROUP INC

CRD 111277

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:318f39ad-db5a-5ac7-a7fa-b9bddd05a6ed

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 25, 2026
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $361MItem 5.F on the latest filing (2026-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $361M
Private client RAUM: $357MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $72.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 197
Individual clients: 73
High net worth clients: 119
SEC number: 801-57515
CIK: 1172036
CRD: 111277
Filings on the tape: 19
First filed: Mar 28, 2012
Latest filed: Mar 25, 2026
Organised: Corporation, WA
Website: sonatacapital.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
TIMOTHY ROSS CUMMINS	n/a	SEATTLE, WA	26	26	n/a	no
PETER G ACKER	n/a	SEATTLE, WA	25	25	n/a	no
MAX M MCCAIN	n/a	SEATTLE, WA	25	26	n/a	no
SHANA A MOFFATT	n/a	SEATTLE, WA	23	28	n/a	no
DAVID FRANKLIN HILL	n/a	SEATTLE, WA	22	43	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CUMMINS, TIMOTHY, ROSS	MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER	D	yes	04/2000	Mar 28, 2012	Mar 28, 2024
HILL, DAVID, FRANKLIN	MANAGING DIRECTOR	D	yes	08/2002	Mar 28, 2012	Mar 28, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026	$361M	$361M	5	5	0	n/a	n/a
2024	Mar 11, 2025	$333M	$333M	5	5	0	n/a	n/a
2023	Mar 28, 2024	$299M	$299M	5	5	0	n/a	n/a
2022	Mar 13, 2023	$264M	$264M	5	5	0	n/a	n/a
2021	Mar 17, 2022	$329M	$329M	5	5	0	n/a	n/a
2020	Mar 24, 2021	$282M	$282M	5	5	0	n/a	n/a
2019	Mar 26, 2020	$257M	$257M	5	5	0	n/a	n/a
2018	Mar 4, 2019	$219M	$219M	5	5	0	n/a	n/a
2017	Mar 21, 2018	$238M	$238M	5	5	0	n/a	n/a
2016	Mar 3, 2017	$224M	$224M	5	5	n/a	n/a	n/a
2015	Mar 18, 2016	$207M	$207M	5	5	n/a	n/a	n/a
2014	Mar 27, 2015	$206M	$206M	5	5	n/a	n/a	n/a
2013	Mar 19, 2014	$184M	$184M	5	5	n/a	n/a	n/a
2012	Mar 25, 2013	$147M	$147M	5	5	n/a	n/a	n/a
2011	Mar 28, 2012	$125M	$125M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$361M	$333M	8.4%	$264M	10.9%	5	5	0	0

Relationships

Registered with (5)

← DAVID FRANKLIN HILLAdvisorregistration: current employment
Jan 12, 2004 to presentfactForm ADV
← SHANA A MOFFATTAdvisorregistration: current employment
Sep 24, 2002 to presentfactForm ADV
← MAX M MCCAINAdvisorregistration: current employment
May 23, 2001 to presentfactForm ADV
← PETER G ACKERAdvisorregistration: current employment
May 3, 2001 to presentfactForm ADV
← TIMOTHY ROSS CUMMINSAdvisorregistration: current employment
Apr 27, 2000 to presentfactForm ADV

Controls (2)

← HILL, DAVID, FRANKLINOwnerMANAGING DIRECTOR, ownership code D, individual
Mar 28, 2012 to Mar 28, 2024factForm ADV
← CUMMINS, TIMOTHY, ROSSOwnerMANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 28, 2012 to Mar 28, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:318f39ad-db5a-5ac7-a7fa-b9bddd05a6ed
First observed: Mar 28, 2012
Last observed: Mar 25, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SONATA CAPITAL GROUP INC

CRD 111277

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:318f39ad-db5a-5ac7-a7fa-b9bddd05a6ed

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:06 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

TIMOTHY ROSS CUMMINS

n/a

SEATTLE, WA

n/a

PETER G ACKER

n/a

SEATTLE, WA

n/a

MAX M MCCAIN

n/a

SEATTLE, WA

n/a

SHANA A MOFFATT

n/a

SEATTLE, WA

n/a

DAVID FRANKLIN HILL

n/a

SEATTLE, WA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CUMMINS, TIMOTHY, ROSS

MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER

yes

04/2000

Mar 28, 2012

Mar 28, 2024

HILL, DAVID, FRANKLIN

MANAGING DIRECTOR

yes

08/2002

Mar 28, 2012

Mar 28, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 25, 2026

$361M

n/a

2024

Mar 11, 2025

$333M

n/a

2023

Mar 28, 2024

$299M

n/a

2022

Mar 13, 2023

$264M

n/a

2021

Mar 17, 2022

$329M

n/a

2020

Mar 24, 2021

$282M

n/a

2019

Mar 26, 2020

$257M

n/a

2018

Mar 4, 2019

$219M

n/a

2017

Mar 21, 2018

$238M

n/a

2016

Mar 3, 2017

$224M

n/a

2015

Mar 18, 2016

$207M

n/a

2014

Mar 27, 2015

$206M

n/a

2013

Mar 19, 2014

$184M

n/a

2012

Mar 25, 2013

$147M

n/a

2011

Mar 28, 2012

$125M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$361M

$333M

8.4%

$264M

10.9%