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RIA / WealthAdvisor10 years in industry

JAMES E. ELLIS

Advisor at SOUND INCOME STRATEGIES, LLC

Londonderry, NH | Leominster, MA | FORT LAUDERDALE, FL

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:fe14c34b-b199-176a-b628-c6bac6d66b6a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 20, 2018 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: May 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S65
First exam: Jan 29, 2018
First registration: Feb 20, 2018
Dual registered: no
Other names: JAMES ELLIS
IAPD individual key: 6247137

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	Nov 18, 2025	n/a	yes	Londonderry, NH\|FORT LAUDERDALE, FL\|Leominster, MA	Current employment
AFFINITY INVESTMENT GROUP, LLC	Independent wealth	Feb 20, 2020	Oct 30, 2025	no	EXETER, NH\|REVERE, MA\|BEDFORD, NH\|NASHUA, NH\|NORTH ANDOVER, MA\|CONCORD, NH\|PORTSMOUTH, NH	Previous registration
TRILOGY CAPITAL, INC.	Independent wealth	Feb 20, 2018	Feb 4, 2020	no	Woburn, MA\|IRVINE, CA	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
AFFINITY INVESTMENT GROUP, LLC	SOUND INCOME STRATEGIES, LLC	Oct 30, 2025	Nov 18, 2025	19	Firm change	RIA to RIA
TRILOGY CAPITAL, INC.	AFFINITY INVESTMENT GROUP, LLC	Feb 4, 2020	Feb 20, 2020	16	Firm change	RIA to RIA

Relationships

Registered with (3)

→ SOUND INCOME STRATEGIES, LLCRegistered adviserregistration: current employment
Nov 18, 2025 to presentfactForm ADV
→ AFFINITY INVESTMENT GROUP, LLCRegistered adviserregistration: previous registration
Feb 20, 2020 to Oct 30, 2025factForm ADV
→ TRILOGY CAPITAL, INC.Registered adviserregistration: previous registration
Feb 20, 2018 to Feb 4, 2020factForm ADV

Dated events

Occurred
Oct 30, 2025
Advisor changed firm
James E. Ellis left Affinity Investment Group, Llc for Sound Income Strategies, Llc (registered 2025-11-18)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fe14c34b-b199-176a-b628-c6bac6d66b6a
First observed: Feb 20, 2018
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed 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.

JAMES E. ELLIS

Advisor at SOUND INCOME STRATEGIES, LLC

Londonderry, NH | Leominster, MA | FORT LAUDERDALE, FL

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:fe14c34b-b199-176a-b628-c6bac6d66b6a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:19 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

SOUND INCOME STRATEGIES, LLC

Independent wealth

Nov 18, 2025

n/a

yes

Londonderry, NH|FORT LAUDERDALE, FL|Leominster, MA

Current employment

AFFINITY INVESTMENT GROUP, LLC

Independent wealth

Feb 20, 2020

Oct 30, 2025

Previous registration

TRILOGY CAPITAL, INC.

Independent wealth

Feb 20, 2018

Feb 4, 2020

Woburn, MA|IRVINE, CA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

AFFINITY INVESTMENT GROUP, LLC

SOUND INCOME STRATEGIES, LLC

Oct 30, 2025

Nov 18, 2025

Firm change

RIA to RIA

TRILOGY CAPITAL, INC.

AFFINITY INVESTMENT GROUP, LLC

Feb 4, 2020

Feb 20, 2020

Firm change

RIA to RIA