Data / Investment advisers / North Carolina / Sound Financial Management, Inc.
Sound Financial Management, Inc., Raleigh, NC: $134 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Sound Financial Management, Inc. is an SEC registered investment adviser with its main office in Raleigh, North Carolina and reports $134 million in regulatory assets under management in its Form ADV filed March 4, 2026. Its clients include high net worth individuals and individuals. It is paid through a percentage of assets under management.
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- Registration
- SEC registered investment adviser
- CRD number
- 122670
- SEC file number
- 801-132274
- SEC status
- Approved, effective March 28, 2025
- Main office
- 8362 Six Forks Rd. Suite 202, Raleigh, NC 27615
- Phone
- (919) 845-6600
- Regulatory AUM
- $134,079,243 in the Form ADV filed March 4, 2026
- Discretionary AUM
- $134,079,243
- Accounts
- 440
- Employees
- 2, of which 2 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 4, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 26 | $84.5 million |
| Individuals (other than high net worth individuals) | 154 | $49.6 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| March 2, 2026 | $134.1 million | February 24, 2026 |
| December 1, 2025 | $110.7 million | April 25, 2025 |
Other advisers in Raleigh
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Hollingsworth Avent Averre & Purvis, Pa | Raleigh | $177.4 million | Not listed | adviserinfo.sec.gov |
| ARK Royal Wealth Management LLC | Raleigh | $169.3 million | Not listed | adviserinfo.sec.gov |
| The Wealth Group, LTD | Raleigh | $160.2 million | Not listed | adviserinfo.sec.gov |
| Pendleton Financial Wealth Management | Raleigh | $160 million | Not listed | adviserinfo.sec.gov |
| Aim Advisors, LLC | Raleigh | $158.2 million | Not listed | adviserinfo.sec.gov |
| Tolley Financial Group, LLC | Raleigh | $121.9 million | Not listed | adviserinfo.sec.gov |
| TRG Capital Management, Inc. | Raleigh | $118.2 million | 1 | adviserinfo.sec.gov |
| Hatteras Investment Partners, LP | Raleigh | $114.8 million | 4 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Raleigh, NC
- Investment advisers in North Carolina
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Sound Financial Management, Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.