DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

SOUND ASSET MANAGEMENT GROUP, LLC

CRD 145330

BROOKLYN, NY

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:edd67646-d39e-fd2b-c896-efef396975b1

Data as of Aug 23, 2023 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Aug 23, 2023
17 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: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 1
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-68434
CRD: 145330
Filings on the tape: 17
First filed: Mar 28, 2012
Latest filed: Aug 23, 2023
Organised: Limited Liability Company, New York

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
JOSEPH CHRISTOPHER MAIORANO	n/a	BROOKLYN, NY	5	28	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
MAIORANO, JOSEPH, CHRISTOPHER	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	09/2007	Mar 28, 2012	Aug 23, 2023

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
2022	Mar 28, 2023	n/a	n/a	1	1	0	n/a	n/a
2021	Mar 28, 2022	$103M	$103M	1	1	0	n/a	n/a
2020	Mar 25, 2021	$96.9M	$96.9M	1	1	0	n/a	n/a
2019	Mar 23, 2020	$66.9M	$66.9M	1	1	0	n/a	n/a
2018	Mar 26, 2019	$83.4M	$83.4M	1	1	0	n/a	n/a
2017	Mar 29, 2018	$87.5M	$87.5M	1	1	0	n/a	n/a
2016	Mar 28, 2017	$78.7M	$78.7M	1	1	n/a	n/a	n/a
2015	Mar 21, 2016	$73.2M	$73.2M	3	1	n/a	n/a	n/a
2014	Mar 23, 2015	$87.0M	$87.0M	3	1	n/a	n/a	n/a
2013	Apr 1, 2014	$75.0M	$75.0M	3	1	n/a	n/a	n/a
2012	Apr 1, 2013	$87.0M	$87.0M	3	1	n/a	n/a	n/a
2011	Mar 28, 2012	$83.1M	$83.1M	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
2022	n/a	$103M	n/a	$66.9M	n/a	1	1	0	0

Relationships

Controls (1)

← MAIORANO, JOSEPH, CHRISTOPHEROwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV

Registered with (3)

← JOSEPH CHRISTOPHER MAIORANOAdvisorregistration: current employment
Sep 16, 2021 to presentfactForm ADV
← Robert Francis WalshAdvisorregistration: previous registration
Mar 27, 2008 to Jan 11, 2017factForm ADV
← ALAN JAY BERNSTEINAdvisorregistration: previous registration
Mar 27, 2008 to Apr 18, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:edd67646-d39e-fd2b-c896-efef396975b1
First observed: Mar 28, 2012
Last observed: Aug 23, 2023 37 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.

SOUND ASSET MANAGEMENT GROUP, LLC

CRD 145330

BROOKLYN, NY

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:edd67646-d39e-fd2b-c896-efef396975b1

Data as of Aug 23, 2023 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:14 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOSEPH CHRISTOPHER MAIORANO

n/a

BROOKLYN, NY

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MAIORANO, JOSEPH, CHRISTOPHER

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

09/2007

Mar 28, 2012

Aug 23, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 28, 2023

n/a

2021

Mar 28, 2022

$103M

n/a

2020

Mar 25, 2021

$96.9M

n/a

2019

Mar 23, 2020

$66.9M

n/a

2018

Mar 26, 2019

$83.4M

n/a

2017

Mar 29, 2018

$87.5M

n/a

2016

Mar 28, 2017

$78.7M

n/a

2015

Mar 21, 2016

$73.2M

n/a

2014

Mar 23, 2015

$87.0M

n/a

2013

Apr 1, 2014

$75.0M

n/a

2012

Apr 1, 2013

$87.0M

n/a

2011

Mar 28, 2012

$83.1M

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

2022

n/a

$103M

n/a

$66.9M

n/a