Soundpost Advisory
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$0
Total clients
0
Total advisors
1
of 1 employees
Firm size
Investment Manager
May not manage individual clients
Average clients per advisor
0
Average account size
—
About
The firm provides outsourced research products and advisory services aimed primarily at institutional and high-net-worth investors, delivering fee-only research and non-discretionary investment recommendations rather than acting as a custodian or executing discretionary mandates. The brochure states the firm reports no assets under management and does not participate in wrap-fee programs.
Its investment approach is grounded in fundamental analysis and focuses on identifying overvalued or potentially fraudulent companies to short common equity, with clients making the final investment decisions. Fees are negotiated on a case-by-case basis, the firm bills quarterly in advance and may use advance or subscription-style billing and discretionary performance-based arrangements tied to capital appreciation or alpha rather than a standard percentage-of-AUM.
Compared with peers, the firm’s reliance on negotiated subscription/advance payments and the absence of percentage-of-AUM pricing is unusual for an investment manager, and it explicitly positions itself as a research provider rather than a traditional asset manager. The brochure also discloses that the principal’s prior fund was subject to an SEC cease-and-desist order in 2011 and that the firm may recommend securities in which it holds a material financial interest.
Client services
Investment research
Expertise
Active portfolio management
Occupation focus
Executive
Fee options
Performance-based fees may be charged based on a share of capital gains or capital appreciation, calculated as alpha added against benchmarks on an annual basis; such fees are discretionary.
Fee-only: Fees are negotiated separately with each client; no single fee schedule. Fees may include investment management fees billed quarterly in advance, and consulting fees priced on a case-by-case basis.
Main office location
Soundpost Advisory
New York NY, United States
Number of offices
1
Most active in
Soundpost Advisory has reported serving >5 clients in these states in the last 12 months.
New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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
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