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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SOUND VIEW WEALTH ADVISORS, LLC

CRD 291457

SAVANNAH, GA

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:f9be0889-d8ef-1334-8d4b-5314a7fbbb45

Data as of Mar 19, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 2
On other graphs: 0
Observed: Nov 24, 2017 to Mar 19, 2019
5 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
Regulatory AUM: $676MItem 5.F on the latest filing (2019-03-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $676M
Private client RAUM: $659MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,900
Individual clients: 400
High net worth clients: 350
SEC number: 801-112221
CRD: 291457
Filings on the tape: 5
First filed: Nov 24, 2017
Latest filed: Mar 19, 2019
Organised: Limited Liability Company, Delaware

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
AMBROSE, EDWARD, FRANCIS	Partner	Na	yes	03/2018	Mar 23, 2018	Mar 19, 2019
BOUCHILLON, KELLY, LEE	SENIOR PARTNER	Na	yes	03/2018	Mar 23, 2018	Mar 19, 2019
BOUCHILLON, KELLY, LEE	OWNER/SENIOR PARTNER	C	yes	03/2018	Mar 23, 2018	Mar 19, 2019
BOUCHILLON, MELISSA, K	CHIEF COMPLIANCE OFFICER AND MANAGING PARTNER	Na	yes	03/2018	Mar 23, 2018	Mar 19, 2019
HAM, OSCAR, EMERSON	SENIOR PARTNER	Na	yes	03/2018	Mar 23, 2018	Mar 19, 2019
HAM, OSCAR, EMERSON	OWNER/SENIOR PARTNER	C	yes	03/2018	Mar 23, 2018	Mar 19, 2019
SOUND VIEW WEALTH HOLDINGS, LLC	MANAGING MEMBER	E	yes	11/2017	Nov 24, 2017	Mar 19, 2019

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
2018	Mar 19, 2019	$676M	$676M	11	5	0	n/a	n/a

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
2018	$676M	n/a	n/a	n/a	n/a	11	n/a	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SOUND VIEW WEALTH ADVISORS GROUP, LLC	4	Apr 3, 2019	Apr 4, 2019	SAVANNAH, GA	Firm absorbed	RIA to new firm	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	4	Apr 2, 2018	Nov 5, 2018	SAVANNAH, GA	Team lift out	Wirehouse to new firm	0.0%

Relationships

Controls (5)

← BOUCHILLON, KELLY, LEEOwnerOWNER/SENIOR PARTNER, ownership code C, individual
Mar 23, 2018 to presentfactForm ADV
← HAM, OSCAR, EMERSONOwnerOWNER/SENIOR PARTNER, ownership code C, individual
Mar 23, 2018 to presentfactForm ADV
← BOUCHILLON, MELISSA, KOwnerCHIEF COMPLIANCE OFFICER AND MANAGING PARTNER, ownership code NA, individual
Mar 23, 2018 to presentfactForm ADV
← AMBROSE, EDWARD, FRANCISOwnerPARTNER, ownership code NA, individual
Mar 23, 2018 to presentfactForm ADV
← SOUND VIEW WEALTH HOLDINGS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Nov 24, 2017 to presentfactForm ADV

Moved with (2)

→ SOUND VIEW WEALTH ADVISORS GROUP, LLCRegistered adviser4 advisors, firm absorbed, same day
Apr 3, 2019 to Apr 4, 2019factForm ADV
← MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviser4 advisors, team lift out, same day
Apr 2, 2018 to Nov 5, 2018factForm ADV

Registered with (4)

← KELLY LEE BOUCHILLONAdvisorregistration: previous registration
Jan 11, 2019 to Apr 3, 2019factForm ADV
← OSCAR EMERSON HAMAdvisorregistration: previous registration
Jan 11, 2019 to Apr 3, 2019factForm ADV
← MELISSA K BOUCHILLONAdvisorregistration: previous registration
Jan 11, 2019 to Apr 3, 2019factForm ADV
← EDWARD FRANCIS AMBROSEAdvisorregistration: previous registration
Jan 11, 2019 to Apr 3, 2019factForm ADV

Dated events

Occurred
Jan 11, 2019
Regulatory AUM changed
Sound View Wealth Advisors, Llc reported RAUM $675.8M, up 185% from $237.1M (2018-05-03 to 2019-01-11)
Form ADVobserved 4 days ago
$439M
Occurred
Nov 24, 2017
First Form ADV filing
Sound View Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f9be0889-d8ef-1334-8d4b-5314a7fbbb45
First observed: Nov 24, 2017
Last observed: Mar 19, 2019 91 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 VIEW WEALTH ADVISORS, LLC

CRD 291457

SAVANNAH, GA

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:f9be0889-d8ef-1334-8d4b-5314a7fbbb45

Data as of Mar 19, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:52 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AMBROSE, EDWARD, FRANCIS

Partner

yes

03/2018

Mar 23, 2018

Mar 19, 2019

BOUCHILLON, KELLY, LEE

SENIOR PARTNER

yes

03/2018

Mar 23, 2018

Mar 19, 2019

BOUCHILLON, KELLY, LEE

OWNER/SENIOR PARTNER

yes

03/2018

Mar 23, 2018

Mar 19, 2019

BOUCHILLON, MELISSA, K

CHIEF COMPLIANCE OFFICER AND MANAGING PARTNER

yes

03/2018

Mar 23, 2018

Mar 19, 2019

HAM, OSCAR, EMERSON

SENIOR PARTNER

yes

03/2018

Mar 23, 2018

Mar 19, 2019

HAM, OSCAR, EMERSON

OWNER/SENIOR PARTNER

yes

03/2018

Mar 23, 2018

Mar 19, 2019

SOUND VIEW WEALTH HOLDINGS, LLC

MANAGING MEMBER

yes

11/2017

Nov 24, 2017

Mar 19, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 19, 2019

$676M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$676M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SOUND VIEW WEALTH ADVISORS GROUP, LLC

Apr 3, 2019

Apr 4, 2019

SAVANNAH, GA

Firm absorbed

RIA to new firm

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Apr 2, 2018

Nov 5, 2018

SAVANNAH, GA

Team lift out

Wirehouse to new firm

0.0%