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RIA / WealthAdvisorCertified Financial Planner29 years in industry

Dixon Place Downey

Advisor at SOUND INCOME STRATEGIES, LLC

FORT LAUDERDALE, FL | South Windsor, CT | Westbrook, CT

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Search this name across graphsid dfx:ria:3e23e77f-cd01-c4bb-d547-b76f05991491

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Mar 1, 2000 to Sep 15, 2026

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

Current firm: SOUND INCOME STRATEGIES, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 15, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65|S66
First exam: Nov 15, 1996
First registration: Mar 1, 2000
Dual registered: no
Other names: Dixon Place Downey|DIXON PLACE DOWNEY
IAPD individual key: 2817768

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SOUND INCOME STRATEGIES, LLC	Independent wealth	Jul 11, 2024	n/a	yes	South Windsor, CT\|FORT LAUDERDALE, FL\|Westbrook, CT	Current employment
PRIME CAPITAL FINANCIAL	Mixed wealth	Oct 6, 2023	Feb 8, 2024	no	OVERLAND PARK, KS\|WILTON, CT	Previous registration
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Bd affiliated wealth	Mar 2, 2021	Oct 9, 2023	no	Danbury, CT\|PLYMOUTH, MN	Previous registration
REBY ADVISORS, LLC	Former SEC adviser	Jan 15, 2019	Mar 2, 2021	no	DANBURY, CT	Previous registration
ROUND ROCK ADVISORS LLC	Independent wealth	Apr 21, 2017	Dec 6, 2018	no	WILTON, CT	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Sep 25, 2012	Apr 24, 2017	no	NEW CANAAN, CT	Previous registration
EDWARD JONES	National bd RIA	Mar 12, 2012	Aug 7, 2012	no	ST LOUIS, MO\|WILTON, CT\|NEWTOWN, CT	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 8, 2010	May 31, 2011	no	STAMFORD, CT	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Apr 8, 2010	May 31, 2011	no	STAMFORD, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 1, 2000	Jun 1, 2006	no	STAMFORD, CT\|STAMFORD, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRIME CAPITAL FINANCIAL	SOUND INCOME STRATEGIES, LLC	Feb 8, 2024	Jul 11, 2024	154	Firm change	RIA to RIA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	PRIME CAPITAL FINANCIAL	Oct 9, 2023	Oct 6, 2023	-3	Firm change	RIA to RIA
REBY ADVISORS, LLC	WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Mar 2, 2021	Mar 2, 2021	0	Firm change	RIA to ibd
ROUND ROCK ADVISORS LLC	REBY ADVISORS, LLC	Dec 6, 2018	Jan 15, 2019	40	Firm change	RIA to RIA
AMERIPRISE FINANCIAL SERVICES, LLC	ROUND ROCK ADVISORS LLC	Apr 24, 2017	Apr 21, 2017	-3	Firm change	Ibd to new firm
EDWARD JONES	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 7, 2012	Sep 25, 2012	49	Firm change	Ibd to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	May 31, 2011	Apr 8, 2010	-418	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	May 31, 2011	Apr 8, 2010	-418	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jun 1, 2006	Apr 8, 2010	1,407	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
126140:116407:CT:2021-03-01	Mar 2, 2021	Mar 2, 2021	DANBURY, CT	Firm change

Relationships

Registered with (10)

→ SOUND INCOME STRATEGIES, LLCRegistered adviserregistration: current employment
Jul 11, 2024 to presentfactForm ADV
→ PRIME CAPITAL FINANCIALRegistered adviserregistration: previous registration
Oct 6, 2023 to Feb 8, 2024factForm ADV
→ WEALTH ENHANCEMENT ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Mar 2, 2021 to Oct 9, 2023factForm ADV
→ REBY ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 15, 2019 to Mar 2, 2021factForm ADV
→ ROUND ROCK ADVISORS LLCRegistered adviserregistration: previous registration
Apr 21, 2017 to Dec 6, 2018factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 25, 2012 to Apr 24, 2017factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Mar 12, 2012 to Aug 7, 2012factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 8, 2010 to May 31, 2011factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Apr 8, 2010 to May 31, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 1, 2000 to Jun 1, 2006factForm ADV

Dated events

Occurred
Feb 8, 2024
Advisor changed firm
Dixon Place Downey left Prime Capital Financial for Sound Income Strategies, Llc (registered 2024-07-11)
Form ADVobserved 5 days ago
Occurred
Oct 9, 2023
Advisor changed firm
Dixon Place Downey left Wealth Enhancement Advisory Services, Llc for Prime Capital Financial (registered 2023-10-06)
Form ADVobserved 5 days ago