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•••••••• R••••••••• S••••••••• L••
Latest filing Sep 3, 2026
First filing on the tape Sep 29, 2025 · 4 filings
SEC status approved since Nov 13, 2025
RAUM
$159M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$159M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$39.6M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$134M as of Jan 22, 2026
Sep 29, 2025$111M then
HNW client RAUM$85.2M as of Jan 22, 2026
Sep 29, 2025$72.1M then
State-registered IARs (5.B.3)4 as of Jan 22, 2026
Sep 29, 20253 then
Employees (5.A)8 as of Jan 22, 2026
Sep 29, 20257 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $39.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $204,282derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 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
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$108M68%
- High-net-worth individuals$50.6M32%
- Individual clients
- 167reported
- HNW clients
- 14reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 776reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• J••• K••••Certified Financial Planner | Bellevue, Wa | Aug 26, 2021 | 10 y | 1 |
| M•••••• R••••• L••••••• | Bellevue, Wa | Jan 17, 2023 | 9 y | 0 |
| B••••••• L•• F••••• | Bellevue, Wa | Mar 6, 2025 | 13 y | 0 |
| N••• L•• H•••••••• | Bellevue, Wa | Jan 21, 2026 | 10 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
- B••••••• J••• K•••• from D••••• R••••••••• P••••••• I•••Aug 26, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• E•••••• J••• · Ccosince 06/2026 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Bellevue, Wa · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Sep 3, 2026hourly charges (Item 5.E.2): yes on the filing of 2026-01-22, no on the filing of 2026-09-03peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 690 to 776Jan 22, 2026 to Sep 3, 2026
- Charity clients · unset to 0.0Jan 22, 2026 to Sep 3, 2026
- Corporate clients · unset to 0.0Jan 22, 2026 to Sep 3, 2026
- HNW clients · 66 to 14Jan 22, 2026 to Sep 3, 2026
- Individual clients · 624 to 167Jan 22, 2026 to Sep 3, 2026
- Pension plan clients · unset to 0.0Jan 22, 2026 to Sep 3, 2026
- Pooled vehicle clients · unset to 0.0Jan 22, 2026 to Sep 3, 2026
- Employees · 8 to 7Jan 22, 2026 to Sep 3, 2026
- Financial planning clients · 101-250 to 101-250Jan 22, 2026 to Sep 3, 2026
- Discretionary RAUM · $134M to $159MJan 22, 2026 to Sep 3, 2026
- HNW RAUM · $85.2M to $50.6MJan 22, 2026 to Sep 3, 2026
- Individual RAUM · $49.3M to $108MJan 22, 2026 to Sep 3, 2026
- Pension RAUM · unset to 0.0Jan 22, 2026 to Sep 3, 2026
- Pooled vehicle RAUM · unset to 0.0Jan 22, 2026 to Sep 3, 2026
- RAUM · $134M to $159MJan 22, 2026 to Sep 3, 2026
- Related adviser · false to unsetJan 22, 2026 to Sep 3, 2026
- Related bank · false to unsetJan 22, 2026 to Sep 3, 2026
- Related broker-dealer · false to unsetJan 22, 2026 to Sep 3, 2026
- Related insurance company · false to unsetJan 22, 2026 to Sep 3, 2026
- Succession · false to unsetJan 22, 2026 to Sep 3, 2026
- Accounts · 579 to 690Dec 4, 2025 to Jan 22, 2026
- Advisory employees · 3 to 4Dec 4, 2025 to Jan 22, 2026
- HNW clients · 75 to 66Dec 4, 2025 to Jan 22, 2026
- Individual clients · 141 to 624Dec 4, 2025 to Jan 22, 2026
- Employees · 7 to 8Dec 4, 2025 to Jan 22, 2026
- Financial planning clients · 51-100 to 101-250Dec 4, 2025 to Jan 22, 2026
- State-registered IARs · 3 to 4Dec 4, 2025 to Jan 22, 2026
- Discretionary RAUM · $111M to $134MDec 4, 2025 to Jan 22, 2026
- HNW RAUM · $72.1M to $85.2MDec 4, 2025 to Jan 22, 2026
- Individual RAUM · $39.4M to $49.3MDec 4, 2025 to Jan 22, 2026
- RAUM · $111M to $134MDec 4, 2025 to Jan 22, 2026
Signals
No event on the tape.
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 16, 2026
- Business phone
- 425-365-0204reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/soundpath-retirement-strategies-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (425) 365-0204reportedpublic record, Form ADV, Sep 3, 2026
- Contact form
- s•••••••••.comreportedpublished 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
- $39.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026