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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••• • S••••
Legal name S••••• • S•••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 11, 2020 · 33 filings
SEC status approved since Jun 12, 2020
RAUM
$334M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$334M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$41.7M
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$334M as of Mar 31, 2026
Mar 29, 2021$102M then
HNW client RAUM$142M as of Mar 31, 2026
Mar 29, 2021$56.1M then
State-registered IARs (5.B.3)8 as of Mar 31, 2026
Mar 29, 20213 then
Employees (5.A)10 as of Mar 31, 2026
Mar 29, 20214 then
Private funds: no history
RAUM +9.8% over the last fiscal year+23% a year over threeIARs 7 to 8offices 6 to 8
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $41.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $478,117derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.9derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $135M, 171 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$192M57%
- High-net-worth individuals$142M43%
- Individual clients
- 213reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 698reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $135M for 171 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• A•••• B•••••Chartered Financial Analyst | San Francisco, Ca | Sep 1, 2020 | 20 y | 4 |
| T••• A••• S••• | San Francisco, Ca | Oct 6, 2020 | 29 y | 10 |
| C••• B•••• B••• | San Francisco, Ca | Jan 15, 2021 | 13 y | 3 |
| G•••••• K•••••• W•••••• | Meridian, Id | Jul 20, 2021 | 10 y | 0 |
| L• P••• G••• | Plano, Tx | Aug 31, 2022 | 26 y | 5 |
| M••••••• H••••• F••••••• | Bellevue, Wa | Jun 28, 2023 | 30 y | 1 |
| W•••••• J• R••••Chartered Financial Analyst | Renton, Wa | Nov 18, 2025 | 28 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- W•••••• J• R•••• from J••• M••••• S••••••••• L••Nov 18, 2025 · Wirehouse to independent RIA
- M••••••• H••••• F••••••• from G••••• A••••••• L••Jun 28, 2023 · RIA to RIA
- D••••• W• from G•• C•••••• M••••••••• L••May 3, 2022 · RIA to RIA
- L• P••• G••• from G•• C•••••• M••••••••• L••May 3, 2022 · RIA to RIA
- C••• B•••• B••• from A•••• C•••• I••••••••• L••Jan 15, 2021 · RIA to RIA
- T••• A••• S••• from M••••• A•••••••• L••Oct 6, 2020 · Affiliated broker-dealer or bank to independent RIA
- D••••• A•••• B••••• from K••• C•••••• M••••••••• C•••••••••Sep 1, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• C•••• B•••• · Chief Business Development Officercontrolsince 01/2021 · owns less than 5%
- B•••••• D•••••• A•••• · Chief Investment Officercontrolsince 10/2020 · owns less than 5%
- L••• M••••••• M••• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- S•••• T•••• A••• · Chief Executive Officercontrolsince 10/2020 · owns less than 5%
- B•••• C•••• B•••• · Managing Membercontrolsince 02/2020 · owns 75% or more of T•••• B••••• H•••••• L••
- B•••••• D•••••• A•••• · Managing Membercontrolsince 03/2021 · owns 75% or more of U••••••• C•••••• L••
- L••• M••••••• M••• · Membercontrolsince 09/2016 · owns 50% to 75% of H••••••• A••••••• L••
- S•••• T•••• A••• · Membercontrolsince 09/2016 · owns 50% to 75% of H••••••• A••••••• L••
Entity owners
- H••••••• A••••••• L•• · Memberdirect · owns 50% to 75%
- T•••• B••••• H•••••• L•• · Memberdirect · owns 25% to 50%
- U••••••• C•••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- M•••• F••••••• P•insurancen
- P••• C•••••• W••••• M••••••••• L••investment advisern
- P••• L•••••• L••investment advisernRAUM $80,836
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Francisco, Ca | 3 | 0 | 0 | ||
| Bellevue, Wa | 2 | 0 | 0 | ||
| Renton, Wa | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bellevue, WA1 employees
- Burlingame, CA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-18, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 658 to 698Nov 18, 2025 to Mar 31, 2026
- Advisory employees · 7 to 9Nov 18, 2025 to Mar 31, 2026
- HNW clients · 29 to 30Nov 18, 2025 to Mar 31, 2026
- Individual clients · 248 to 213Nov 18, 2025 to Mar 31, 2026
- Assets in custody · unset to 135402905.0Nov 18, 2025 to Mar 31, 2026
- Custody of client assets · false to trueNov 18, 2025 to Mar 31, 2026
- Employees · 8 to 10Nov 18, 2025 to Mar 31, 2026
- State-registered IARs · 7 to 8Nov 18, 2025 to Mar 31, 2026
- Other offices · 7 to 8Nov 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $288M to $334MNov 18, 2025 to Mar 31, 2026
- HNW RAUM · $126M to $142MNov 18, 2025 to Mar 31, 2026
- Individual RAUM · $178M to $192MNov 18, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $16.2M to $0Nov 18, 2025 to Mar 31, 2026
- RAUM · $304M to $334MNov 18, 2025 to Mar 31, 2026
- Other offices · 6 to 7Jul 29, 2025 to Nov 18, 2025
- Financial planning clients · 51-100 to 51-100Mar 31, 2025 to Jul 29, 2025
- Accounts · 607 to 658Mar 30, 2024 to Mar 31, 2025
- HNW clients · 38 to 29Mar 30, 2024 to Mar 31, 2025
- Individual clients · 223 to 248Mar 30, 2024 to Mar 31, 2025
- HQ city · unset to Mar 30, 2024 to Mar 31, 2025
- HQ state · unset to Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $242M to $288MMar 30, 2024 to Mar 31, 2025
- HNW RAUM · $110M to $126MMar 30, 2024 to Mar 31, 2025
- Individual RAUM · $137M to $178MMar 30, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $6.4M to $16.2MMar 30, 2024 to Mar 31, 2025
- RAUM · $248M to $304MMar 30, 2024 to Mar 31, 2025
- Accounts · 463 to 607Jun 28, 2023 to Mar 30, 2024
- HNW clients · 39 to 38Jun 28, 2023 to Mar 30, 2024
- Individual clients · 137 to 223Jun 28, 2023 to Mar 30, 2024
- Discretionary RAUM · $179M to $242MJun 28, 2023 to Mar 30, 2024
- HNW RAUM · $100M to $110MJun 28, 2023 to Mar 30, 2024
- Individual RAUM · $78.2M to $137MJun 28, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $0 to $6.4MJun 28, 2023 to Mar 30, 2024
- RAUM · $179M to $248MJun 28, 2023 to Mar 30, 2024
- Advisory employees · 6 to 7Apr 6, 2023 to Jun 28, 2023
- Employees · 7 to 8Apr 6, 2023 to Jun 28, 2023
- Insurance-licensed employees · 0 to 1Apr 6, 2023 to Jun 28, 2023
- State-registered IARs · 6 to 7Apr 6, 2023 to Jun 28, 2023
- Other offices · 5 to 6Apr 6, 2023 to Jun 28, 2023
- Related insurance company · false to trueApr 6, 2023 to Jun 28, 2023
Signals
4 dated events
- Brett Cory Baer (Chief Business Development Officer) appeared on Schedule A of S••••• • S••••Mar 29, 2021 · Control person joined · fact
- Alan Todd Sixt (Member) appeared on Schedule A of S••••• • S••••Oct 5, 2020 · Control person joined · fact
- M••• M•••••• Lee (Member) appeared on Schedule A of S••••• • S••••Oct 5, 2020 · Control person joined · fact
- S••••• • S•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 11, 2020 · 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
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 425-577-7710reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 425-577-7711reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-331-3112reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/strait-and-soundreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (425) 577-7710reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $41.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026