SourcingSourcing

SOUND FINANCIAL MANAGEMENT, INC.

B58
CRD 122670·SEC 801-132274·RALEIGH, NC
AUM
$134.1M
$100M-$500M
Est. Revenue
$1.3M
@ 1% on AUM
Est. EBITDA
$402K
@ 30% margin
Est. Deal Value
$3.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SOUND FINANCIAL MANAGEMENT, INC.
CRD
122670
SEC file #
801-132274
EIN
—
DBA names
—

Economics

AUM
$134.1M
AUM band
$100M-$500M
AUM trajectory
'25'26
$110.7M → $134.1M▲ +21%
Client mix
Individuals Other154
Individuals High Net Worth26

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'25'26
2 advisors → 2 advisors▬ 0%
Primary office
RALEIGH NC
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUM

Filings

Latest ADV filing
03/04/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SLOAN, WILLIAM, BROWN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
SLOAN, WILLIAM, BROWN
SLOAN, WILLIAM, ALEX
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
2235344
Trust Company Affiliate
No

People (2)

2
SLOAN, WILLIAM, BROWN
IAR · Direct Owner · 87.5%
2235344
SLOAN, WILLIAM, ALEX
IAR · Executive Officer · 2.5%
6938071