Sound Financial Investment Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$0
Total clients
259
0% high-net worth
Total advisors
2
of 2 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
130
Average account size
$0
About
Sound Financial Investment Management, LLC provides portfolio management, financial planning, pension consulting and participant education, and also offers educational seminars for clients and plan participants. The firm serves individuals, high‑net‑worth individuals, and ERISA retirement plan participants and documents each client’s objectives and constraints in a written Investment Policy Statement.
The firm applies fundamental and technical analysis and employs both long‑term and short‑term trading strategies, with accounts reviewed at least quarterly and financial plans delivered on a one‑time basis unless additional work is requested. Rather than holding custody of assets directly, the firm refers client assets to third‑party advisers (including Matson Money, AssetMark and SEI), conducts due diligence and ongoing performance reviews, and receives fee shares from those relationships; it also does not accept discretionary trading authority over client accounts.
Distinctive features disclosed in the brochure include an affiliation with an insurance agency and licensed representatives who may sell commissionable insurance and brokerage products, a conflict the firm notes and documents for clients. The firm also requires use of its recommended custodians, provides retirement plan participant education as a formal service, and limits ongoing financial reporting from the adviser to custodian statements unless clients pay for additional plan updates.
Client services
Expertise
Fee options
Pension consulting services: annual flat fee up to $15,000, collected quarterly in arrears by Third-Party Administrator.
$0 - $4,000,000: 0.4% up to 1.4% (SFIM) + 0.50% up to 1.10% (Matson Money) + 0.25% to 0.75% (AssetMark & SEI) = up to 2.50% max total fee Over $4,000,000+: 0.4% up to 1.0% (SFIM) + 0.50% up to 1.10% (Matson Money) + 0.25% to 0.75% (AssetMark & SEI) = up to 2.10% max total fee
Representatives accept commissions from sale of securities and insurance products; conflicts of interest disclosed.
Main office location
Sound Financial Investment Management, LLC
320 James E. Bohanan Drive
Vandalia OH 45377, United States
Number of offices
2
Most active in
Ohio
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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