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.
SEC-registered adviser
Sound Legacy Wealth Advisors, LLC
Latest filing Apr 16, 2026
First filing on the tape Nov 12, 2019 · 13 filings
SEC status approved since Mar 12, 2026
RAUM
$102M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$89.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$51.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$102M as of Apr 16, 2026
Jan 2, 2020$0 then
HNW client RAUM$77.0M as of Apr 16, 2026
Mar 11, 2026$77.0M then
State-registered IARs (5.B.3)2 as of Apr 16, 2026
Jan 2, 20203 then
Employees (5.A)2 as of Apr 16, 2026
Jan 2, 20204 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $51.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $816,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $2.5M, 6 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$77.0M75%
- Individuals$12.0M12%
- Corporations and businesses$11.0M11%
- Charitable organizations$2.0M2.0%
- Individual clients
- 21reported
- HNW clients
- 20reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 125reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.5M for 6 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joel Stuart Petersen | Kirkland, Wa | Jan 3, 2020 | 20 y | 2 |
| Tera Louise Probst | Kirkland, Wa | Jun 1, 2020 | 34 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
- Brendan Michael Sullivan to Parcion Private Wealth LLCJan 20, 2022 · RIA to RIA
- Stacy Sizemore to Tru Independence Asset Management 2, LLCJan 7, 2021 · RIA to RIA
Joined, latest
- Joel Stuart Petersen from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 3, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Brendan Michael Sullivan from Hightower Advisors, LLCJan 2, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S Joel Petersen · Managing Membercontrolsince 01/2020 · owns 50% to 75%
- Leigh Stacy Sizemore · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- M Brendan Sullivan · Chief Operating Officercontrolsince 01/2020 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kirkland, Wa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 125Jul 10, 2020 to Mar 11, 2026
- Advisory employees · 4 to 2Jul 10, 2020 to Mar 11, 2026
- Charity clients · unset to 2.0Jul 10, 2020 to Mar 11, 2026
- Corporate clients · unset to 1.0Jul 10, 2020 to Mar 11, 2026
- HNW clients · unset to 20.0Jul 10, 2020 to Mar 11, 2026
- Individual clients · unset to 21.0Jul 10, 2020 to Mar 11, 2026
- Pension plan clients · unset to 0.0Jul 10, 2020 to Mar 11, 2026
- Pooled vehicle clients · unset to 0.0Jul 10, 2020 to Mar 11, 2026
- Assets in custody · unset to 2500000.0Jul 10, 2020 to Mar 11, 2026
- Custody of client assets · false to trueJul 10, 2020 to Mar 11, 2026
- Employees · 5 to 2Jul 10, 2020 to Mar 11, 2026
- Financial planning clients · 0 to 26-50Jul 10, 2020 to Mar 11, 2026
- HQ city · BELLEVUE to Jul 10, 2020 to Mar 11, 2026
- HQ state · WA to Jul 10, 2020 to Mar 11, 2026
- State-registered IARs · 5 to 2Jul 10, 2020 to Mar 11, 2026
- Other offices · 0 to 1Jul 10, 2020 to Mar 11, 2026
- Discretionary RAUM · $2.3M to $102MJul 10, 2020 to Mar 11, 2026
- HNW RAUM · $2.3M to $77.0MJul 10, 2020 to Mar 11, 2026
- Individual RAUM · unset to 12000000.0Jul 10, 2020 to Mar 11, 2026
- Pension RAUM · unset to 0.0Jul 10, 2020 to Mar 11, 2026
- Pooled vehicle RAUM · unset to 0.0Jul 10, 2020 to Mar 11, 2026
- RAUM · $2.3M to $102MJul 10, 2020 to Mar 11, 2026
- Advisory employees · 3 to 4Jun 17, 2020 to Jun 25, 2020
- Advisory activities · 3 to 2Jun 17, 2020 to Jun 25, 2020
- Employees · 4 to 5Jun 17, 2020 to Jun 25, 2020
- State-registered IARs · 3 to 5Jun 17, 2020 to Jun 25, 2020
- Accounts · 0 to 1Jan 21, 2020 to Apr 9, 2020
- Discretionary RAUM · $0 to $2.3MJan 21, 2020 to Apr 9, 2020
- HNW RAUM · unset to 2336001.0Jan 21, 2020 to Apr 9, 2020
- RAUM · $0 to $2.3MJan 21, 2020 to Apr 9, 2020
- Business name · SOUND LEGACY LLC to SOUND LEGACY WEALTH ADVISORS, LLCJan 2, 2020 to Jan 21, 2020
- Employees · 6 to 4Dec 26, 2019 to Jan 2, 2020
- HQ city · BELLEVUEW to BELLEVUENov 12, 2019 to Dec 26, 2019
- Legal name · SOUND LEGACY LLC to SOUND LEGACY WEALTH ADVISORS, LLCNov 12, 2019 to Dec 26, 2019
Signals
3 dated events
- Brendan Michael Sullivan left Sound Legacy Wealth Advisors, Llc for Parcion Private Wealth Llc (registered 2021-11-04)Jan 20, 2022 · Advisor changed firm · fact
- S Joel Petersen (Managing Member) appeared on Schedule A of Sound Legacy Wealth Advisors, LlcJan 2, 2020 · Control person joined · fact
- Sound Legacy Llc filed its initial SEC registration (Form ADV)Nov 12, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@soundlegacy.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 425-800-6862reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/sound-legacy-wealth-advisors/?viewAsMemreportedpublic record, Form ADV, Sep 17, 2026
- Website
- soundlegacy.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 425-800-6862reportedpublic record, Form ADV, Apr 16, 2026
- Contact form
- soundlegacy.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- soundlegacy.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $51.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026