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 Capital Solutions LLC
Latest filing Feb 6, 2026
First filing on the tape Oct 13, 2023 · 6 filings
SEC status approved since Jan 5, 2024
RAUM
$306M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$76.4M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$306M as of Feb 6, 2026
May 1, 2024$45.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 6, 2026
May 1, 20244 then
Employees (5.A)5 as of Feb 6, 2026
May 1, 20245 then
Private funds: no history
RAUM +36% over the last fiscal yearIARs 4 to 4offices 1 to 0
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
- RAUM per advisor
- $76.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $153MderivedRAUM 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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$306M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Emmett Flood | Naples, Fl | Jan 5, 2024 | 12 y | 0 |
| Dominic Joseph DalmasoChartered Financial Analyst | Naples, Fl | Jan 5, 2024 | 12 y | 2 |
| Mark Thomas Mcgannon | Naples, Fl | Jan 11, 2024 | 33 y | 1 |
| Nicholas Nmn Dalmaso | Naples, Fl | Jan 11, 2024 | 25 y | 5 |
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
- Nicholas Nmn Dalmaso to M1 AdvisorySep 15, 2023 · Other
Joined, latest
- Nicholas Nmn Dalmaso from M1 AdvisoryJan 11, 2024 · Other
- Dominic Joseph Dalmaso from Nuveen Asset Management, LLCSep 2, 2021 · Other
- Nicholas Nmn Dalmaso from M1 AdvisoryOct 23, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Dominic Dalmaso · Chief Investment Officercontrolsince 09/2022 · owns less than 5%
- Nmn Nicholas Dalmaso · Chief Executive Officer And Chief Compliance Officercontrolsince 08/2020 · owns less than 5%
- Emmett Robert Flood · Chief Financial Officercontrolsince 09/2022 · owns less than 5%
- Nmn Nicholas Dalmaso · Sole Membercontrolsince 08/2020 · owns 25% to 50% of Sound Capital Holdings LLC
Entity owners
- Sound Capital Holdings LLC · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Sound Capital Distributors LLCbroker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Naples, Fl | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 1 to 0Mar 14, 2025 to Feb 6, 2026
- Discretionary RAUM · $224M to $306MMar 14, 2025 to Feb 6, 2026
- RAUM · $224M to $306MMar 14, 2025 to Feb 6, 2026
- Financial planning clients · unset to May 1, 2024 to Mar 14, 2025
- HQ city · unset to May 1, 2024 to Mar 14, 2025
- HQ state · unset to May 1, 2024 to Mar 14, 2025
- Other offices · 0 to 1May 1, 2024 to Mar 14, 2025
- Discretionary RAUM · $45.5M to $224MMay 1, 2024 to Mar 14, 2025
- RAUM · $45.5M to $224MMay 1, 2024 to Mar 14, 2025
- Related broker-dealer · true to falseMay 1, 2024 to Mar 14, 2025
- Accounts · unset to 2.0Jan 4, 2024 to May 1, 2024
- Discretionary RAUM · unset to 45453407.0Jan 4, 2024 to May 1, 2024
- Non-discretionary RAUM · unset to 0.0Jan 4, 2024 to May 1, 2024
- RAUM · unset to 45453407.0Jan 4, 2024 to May 1, 2024
Signals
2 dated events
- Sound Capital Solutions Llc filed its initial SEC registration (Form ADV)Oct 13, 2023 · First SEC registration · fact
- Nicholas Nmn Dalmaso left Sound Capital Solutions Llc for M1 Advisory (registered 2020-12-22)Sep 15, 2023 · Advisor changed firm · 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
- Firm profile
- linkedin.com/company/sound-capital-solutionsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- soundcapitalsolutions.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-853-3300reportedpublic record, Form ADV, Feb 6, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $76.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026