DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SOUNDVIEW ADVISORS

SOUNDVIEW ADVISORS, INC., CRD 114437

OLYMPIA, 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:b874b38e-9d77-d1b0-9dcc-3814c7b08b14

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Mar 22, 2012 to Mar 24, 2026
29 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $387MItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $387M
Private client RAUM: $386MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $64.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 11
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 842
Individual clients: 77
High net worth clients: 112
Custody, client assets: $18.8M
SEC number: 801-68960
CRD: 114437
Filings on the tape: 29
First filed: Mar 22, 2012
Latest filed: Mar 24, 2026
Organised: Corporation, WA
Website: soundviewadvisors.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
KEVIN LEE SLATER	Certified Financial Planner	OLYMPIA, WA	22	22	n/a	no
KEVIN M RIGG	Certified Financial Planner	OLYMPIA, WA	21	23	1	no
BEN LEON JENNINGS	Certified Financial Planner\|Personal Financial Specialist	OLYMPIA, WA	16	28	2	no
Krista Lynn Wallace	Certified Financial Planner	OLYMPIA, WA \| Olympia, WA	5	12	n/a	no
CHRISTEN NICHOLE HARRISON	n/a	OLYMPIA, WA	4	19	4	no
Austin Abraham Boyce	Certified Financial Planner	OLYMPIA, WA	0	11	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
RIGG, KEVIN, M	TREASURER & CHIEF TECHNOLOGY OFFICER	C	yes	10/2009	Mar 22, 2012	Oct 30, 2024
SLATER, KEVIN, LEE	President	C	yes	01/2007	Mar 22, 2012	Oct 30, 2024
PORTER, NATHAN, WALTER	CHIEF OPERATING OFFICER AND SECRETARY	Na	no	01/2021	Mar 11, 2021	Oct 30, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Seattle	Wa	United States	1	no

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 24, 2026	$387M	$387M	11	6	1	n/a	n/a
2024	Mar 13, 2025	$408M	$343M	11	5	1	n/a	n/a
2023	Mar 4, 2024	$345M	$294M	11	5	1	n/a	n/a
2022	Mar 9, 2023	$291M	$260M	12	6	1	n/a	n/a
2021	Mar 21, 2022	$314M	$288M	12	6	1	n/a	n/a
2020	Mar 11, 2021	$283M	$276M	11	6	1	n/a	n/a
2019	Mar 3, 2020	$246M	$240M	11	4	1	n/a	n/a
2018	Mar 5, 2019	$210M	$206M	11	3	1	n/a	n/a
2017	Feb 9, 2018	$233M	$233M	11	3	1	n/a	n/a
2016	Feb 27, 2017	$207M	$207M	9	3	n/a	n/a	n/a
2015	Feb 9, 2016	$191M	$191M	7	4	n/a	n/a	n/a
2014	Feb 19, 2015	$195M	$195M	10	6	n/a	n/a	n/a
2013	Mar 4, 2014	$183M	$183M	10	5	n/a	n/a	n/a
2012	Mar 28, 2013	$160M	$160M	9	4	n/a	n/a	n/a
2011	Mar 22, 2012	$145M	$145M	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	$387M	$408M	-5.1%	$291M	10.0%	11	11	1	1

Relationships

Registered with (7)

← Austin Abraham BoyceAdvisorregistration: current employment
Nov 11, 2025 to presentfactForm ADV
← CHRISTEN NICHOLE HARRISONAdvisorregistration: current employment
May 26, 2022 to presentfactForm ADV
← Krista Lynn WallaceAdvisorregistration: current employment
Oct 29, 2020 to presentfactForm ADV
← BEN LEON JENNINGSAdvisorregistration: current employment
Mar 29, 2010 to presentfactForm ADV
← KEVIN M RIGGAdvisorregistration: current employment
Aug 15, 2005 to presentfactForm ADV
← KEVIN LEE SLATERAdvisorregistration: current employment
Apr 15, 2004 to presentfactForm ADV
← BENJAMIN EDWARD DAVISAdvisorregistration: previous registration
Mar 3, 2014 to Sep 15, 2015factForm ADV

Controls (2)

← RIGG, KEVIN, MOwnerTREASURER & CHIEF TECHNOLOGY OFFICER, ownership code C, individual
Mar 22, 2012 to Oct 30, 2024factForm ADV
← SLATER, KEVIN, LEEOwnerPRESIDENT, ownership code C, individual
Mar 22, 2012 to Oct 30, 2024factForm ADV

Owns (1)

← PORTER, NATHAN, WALTEROwnerCHIEF OPERATING OFFICER AND SECRETARY, ownership code NA, individual
Mar 11, 2021 to Oct 30, 2024factForm ADV

Dated events

Occurred
Mar 11, 2021
Control person left
Rae Angella Creel (Chief Operating Officer/Secretary) no longer on Schedule A of Soundview Advisors (listed 2020-06-10, absent 2021-03-11)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b874b38e-9d77-d1b0-9dcc-3814c7b08b14
First observed: Mar 22, 2012
Last observed: Mar 24, 2026 6 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.

SOUNDVIEW ADVISORS

SOUNDVIEW ADVISORS, INC., CRD 114437

OLYMPIA, 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:b874b38e-9d77-d1b0-9dcc-3814c7b08b14

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:27 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KEVIN LEE SLATER

Certified Financial Planner

OLYMPIA, WA

n/a

KEVIN M RIGG

Certified Financial Planner

OLYMPIA, WA

BEN LEON JENNINGS

Certified Financial Planner|Personal Financial Specialist

OLYMPIA, WA

Krista Lynn Wallace

Certified Financial Planner

OLYMPIA, WA | Olympia, WA

n/a

CHRISTEN NICHOLE HARRISON

n/a

OLYMPIA, WA

Austin Abraham Boyce

Certified Financial Planner

OLYMPIA, WA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RIGG, KEVIN, M

TREASURER & CHIEF TECHNOLOGY OFFICER

yes

10/2009

Mar 22, 2012

Oct 30, 2024

SLATER, KEVIN, LEE

President

yes

01/2007

Mar 22, 2012

Oct 30, 2024

PORTER, NATHAN, WALTER

CHIEF OPERATING OFFICER AND SECRETARY

01/2021

Mar 11, 2021

Oct 30, 2024

City

State

Country

Employees

Also broker-dealer

Seattle

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$387M

n/a

2024

Mar 13, 2025

$408M

$343M

n/a

2023

Mar 4, 2024

$345M

$294M

n/a

2022

Mar 9, 2023

$291M

$260M

n/a

2021

Mar 21, 2022

$314M

$288M

n/a

2020

Mar 11, 2021

$283M

$276M

n/a

2019

Mar 3, 2020

$246M

$240M

n/a

2018

Mar 5, 2019

$210M

$206M

n/a

2017

Feb 9, 2018

$233M

n/a

2016

Feb 27, 2017

$207M

n/a

2015

Feb 9, 2016

$191M

n/a

2014

Feb 19, 2015

$195M

n/a

2013

Mar 4, 2014

$183M

n/a

2012

Mar 28, 2013

$160M

n/a

2011

Mar 22, 2012

$145M

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

$387M

$408M

-5.1%

$291M

10.0%