DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S•••• S•••• M••••••••• I••
Latest filing Apr 9, 2026
First filing on the tape Mar 15, 2012 · 25 filings
SEC status approved since Jan 6, 1978
RAUM
$3.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$3.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$3.4B
derived; firm RAUM over IAPD count
Employees
16
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$3.4B as of Apr 9, 2026
Mar 15, 2012$5.6B then
HNW client RAUM$3.6M as of Apr 9, 2026
Mar 26, 2018$60.3M then
State-registered IARs (5.B.3)0 as of Apr 9, 2026
Mar 15, 20120 then
Employees (5.A)16 as of Apr 9, 2026
Mar 26, 201317 then
Private funds1 as of Apr 9, 2026
Mar 15, 20121 then
RAUM +6.3% over the last fiscal year+6.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $3.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $9.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 47%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 16.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $32.4M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$1.1B37%
- Investment companies$988M34%
- Sovereign wealth funds$311M11%
- Pooled investment vehicles$199M6.8%
- Charitable organizations$133M4.5%
- Corporations and businesses$119M4.1%
- Pension and profit-sharing plans$82.8M2.8%
- High-net-worth individuals$3.6M0.1%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 372reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $476M managedreported
- Custody of client assets
- $32.4M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.35 institutional_share=0.47 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• G•••• K••• | Greenwich, Ct | Aug 4, 1983 | 49 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• S•••• C••••••••• F•••• L•• | Other Private Fund | $25.2M | 3 | Mar 15, 2012 |
| S•••• S•••• G••••• F•••• L••no longer reported | Other Private Fund | $9.4M | 6 | Mar 26, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B•••• H•••• · Co-Chairman/Directorcontrolsince 05/1978 · owns 25% to 50%
- D••••••• J•••• P•••••• · Presidentcontrolsince 12/2013 · owns 10% to 25%
- K•••• T•••••••• G•••• · Co-Chairman/Directorcontrolsince 09/1977 · owns 10% to 25%
- B••••• D••••• B•••••• · Portfolio Managersince 05/2024 · owns 5% to 10%
- C••••• J••••• F••••••• · Analystsince 06/2004 · owns 5% to 10%
- E••••• P••••• B••••••• · Portfolio Managersince 05/2024 · owns 5% to 10%
- H••••• L•••••• E••• · Chief Compliance Officersince 06/2007 · owns less than 5%
- S••••••• E••••• S•••• · Tradersince 12/2021 · owns less than 5%
- S•••••••• S•••••• S••••••••• · V.P.,Treas.,Sec./Directorsince 12/1979 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 388 to 372Nov 4, 2025 to Mar 26, 2026
- Assets in custody · $24.7M to $32.4MNov 4, 2025 to Mar 26, 2026
- Discretionary RAUM · $3.2B to $3.4BNov 4, 2025 to Mar 26, 2026
- HNW RAUM · $3.2M to $3.6MNov 4, 2025 to Mar 26, 2026
- Pension RAUM · $78.4M to $82.8MNov 4, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $179M to $199MNov 4, 2025 to Mar 26, 2026
- RAUM · $3.2B to $3.4BNov 4, 2025 to Mar 26, 2026
- Wrap assets (manager) · $456M to $476MNov 4, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Aug 13, 2025 to Nov 4, 2025
- Accounts · 398 to 388May 28, 2024 to Mar 27, 2025
- Advisory employees · 6 to 8May 28, 2024 to Mar 27, 2025
- Pension plan clients · 2 to 1May 28, 2024 to Mar 27, 2025
- Assets in custody · $25.2M to $24.7MMay 28, 2024 to Mar 27, 2025
- Employees · 17 to 16May 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $3.0B to $3.2BMay 28, 2024 to Mar 27, 2025
- HNW RAUM · $2.8M to $3.2MMay 28, 2024 to Mar 27, 2025
- Pension RAUM · $167M to $78.4MMay 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $162M to $179MMay 28, 2024 to Mar 27, 2025
- RAUM · $3.0B to $3.2BMay 28, 2024 to Mar 27, 2025
- Wrap assets (manager) · $401M to $456MMay 28, 2024 to Mar 27, 2025
- Accounts · 414 to 398Mar 13, 2023 to Mar 26, 2024
- HNW clients · 3 to 2Mar 13, 2023 to Mar 26, 2024
- Assets in custody · $21.4M to $25.2MMar 13, 2023 to Mar 26, 2024
- Discretionary RAUM · $2.8B to $3.0BMar 13, 2023 to Mar 26, 2024
- HNW RAUM · $27.3M to $2.8MMar 13, 2023 to Mar 26, 2024
- Pension RAUM · $166M to $167MMar 13, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $139M to $162MMar 13, 2023 to Mar 26, 2024
- RAUM · $2.8B to $3.0BMar 13, 2023 to Mar 26, 2024
- Wrap assets (manager) · $399M to $401MMar 13, 2023 to Mar 26, 2024
- Accounts · 426 to 414Mar 30, 2022 to Mar 13, 2023
- Advisory employees · 7 to 6Mar 30, 2022 to Mar 13, 2023
- Pension plan clients · 3 to 2Mar 30, 2022 to Mar 13, 2023
- Assets in custody · $23.4M to $21.4MMar 30, 2022 to Mar 13, 2023
- Employees · 18 to 17Mar 30, 2022 to Mar 13, 2023
- Discretionary RAUM · $3.8B to $2.8BMar 30, 2022 to Mar 13, 2023
- HNW RAUM · $10.5M to $27.3MMar 30, 2022 to Mar 13, 2023
- Pension RAUM · $488M to $166MMar 30, 2022 to Mar 13, 2023
- Pooled vehicle RAUM · $164M to $139MMar 30, 2022 to Mar 13, 2023
- RAUM · $3.8B to $2.8BMar 30, 2022 to Mar 13, 2023
- Wrap assets (manager) · $448M to $399MMar 30, 2022 to Mar 13, 2023
Signals
1 dated events
- Leonard Jonathan Steinmetz (Analyst) no longer on Schedule A of S•••• S•••• M••••••••• I•• (listed 2019-03-29, absent 2020-03-16)Mar 16, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- S•••• S•••• M••••••••• I•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sound-shore-management-increportedpublic record, Form ADV, Sep 19, 2026
- Website
- S••••S••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-629-1980reportedpublic record, Form ADV, Apr 9, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026