Sound Capital

Sound Capital provides investment advisory and comprehensive wealth management services to individuals, families, trusts and businesses, managing roughly $6.9 million for about 42 client accounts. Its Comprehensive Wealth Management service—covering financial planning and discretionary portfolio management across stocks, bonds, ETFs, options, mutual funds and other public and private securities—is offered only through a wrap fee program sponsored by the firm.

The firm’s investment process combines technical and fundamental analysis, modern portfolio theory, and quantitative and qualitative inputs, and may incorporate long- and short-term trading, options, margin and short-sales where appropriate. Accounts are reviewed at least monthly, managed on a discretionary basis, and the firm uses forward-looking financial planning software while recommending an institutional custodian for execution and custody services.

Compared with many independent solo advisers, Sound Capital’s role as a wrap fee program sponsor and its decision to offer its core wealth management only through wrapped accounts is uncommon for a firm of its size. The firm also emphasizes formal, periodic disclosure—providing an annual Brochure or Summary of Material Changes and relying on quarterly custodian account reporting—operates on a fee-only basis, does not aggregate client trades into block trades, and employs a sole advisor who holds CFP and securities licenses.