DFX Intelligence

Data Factory

RIA / WealthAdvisor16 years in industry

TIMOTHY JON SPARKS

Advisor at SOUND INCOME STRATEGIES, LLC

Louisville, KY | FORT LAUDERDALE, FL | LEXINGTON, KY

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:b854ee5e-fd05-7138-ea8b-6b8594034587

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 10, 2010 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: Jun 8, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65
First exam: Jun 8, 2010
First registration: Jun 10, 2010
Dual registered: no
Other names: TIMOTHY SPARKS|TIM SPARKS
IAPD individual key: 5762751

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	Sep 10, 2019	n/a	yes	FORT LAUDERDALE, FL\|Louisville, KY\|LEXINGTON, KY	Current employment
SPECIALIZED ADVISORS	Former SEC adviser	Jan 31, 2019	Sep 13, 2019	no	Mt. Sterling, KY\|DALLAS, TX	Previous registration
SECURE INVESTMENT MANAGEMENT, LLC	Independent wealth	Oct 26, 2015	Jan 28, 2019	no	Mt. Sterling, KY\|TUCSON, AZ	Previous registration
HORTER INVESTMENT MANAGEMENT, LLC	Independent wealth	Oct 5, 2012	Oct 20, 2015	no	MT. STERLING, KY\|LEXINGTON, KY\|LEXINGTON, KY\|CINCINNATI, OH	Previous registration
ALPHASTAR CAPITAL MANAGEMENT	Independent wealth	Dec 5, 2011	Oct 3, 2012	no	LEXINGTON, KY\|CORNELIUS, NC	Previous registration
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Former SEC adviser	Jun 10, 2010	Nov 30, 2011	no	LEXINGTON, KY\|SARASOTA, FL	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
SPECIALIZED ADVISORS	SOUND INCOME STRATEGIES, LLC	Sep 13, 2019	Sep 10, 2019	-3	Firm change	RIA to RIA
SECURE INVESTMENT MANAGEMENT, LLC	SPECIALIZED ADVISORS	Jan 28, 2019	Jan 31, 2019	3	Firm change	RIA to new firm
HORTER INVESTMENT MANAGEMENT, LLC	SECURE INVESTMENT MANAGEMENT, LLC	Oct 20, 2015	Oct 26, 2015	6	Firm change	Other
ALPHASTAR CAPITAL MANAGEMENT	HORTER INVESTMENT MANAGEMENT, LLC	Oct 3, 2012	Oct 5, 2012	2	Firm change	Other
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	ALPHASTAR CAPITAL MANAGEMENT	Nov 30, 2011	Dec 5, 2011	5	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
141195:299308:AZ:2019-01-24	Jan 28, 2019	Jan 31, 2019	TUCSON, AZ	Firm change

Relationships

Registered with (6)

→ SOUND INCOME STRATEGIES, LLCRegistered adviserregistration: current employment
Sep 10, 2019 to presentfactForm ADV
→ SPECIALIZED ADVISORSRegistered adviserregistration: previous registration
Jan 31, 2019 to Sep 13, 2019factForm ADV
→ SECURE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 26, 2015 to Jan 28, 2019factForm ADV
→ HORTER INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 5, 2012 to Oct 20, 2015factForm ADV
→ ALPHASTAR CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Dec 5, 2011 to Oct 3, 2012factForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserregistration: previous registration
Jun 10, 2010 to Nov 30, 2011factForm ADV

Dated events

No dated event names this entity yet.