SOUND INCOME STRATEGIES, LLC

HTTP://SOUNDINCOMESTRATEGIES.COM/ FT LAUDERDALE, FL Investment Advisor How do I update this listing?

Sound Income Strategies is based out of Ft Lauderdale. Sound Income Strategies is a large advisory firm with 4248 clients and discretionary assets under management (AUM) of $562,588,349 (Form ADV from 2018-10-24). Their last reported 13F filing for Q4 2018 included $190,908,000 in managed 13F securities and a top 10 holdings concentration of 73.65%. Sound Income Strategies's largest holding is iShares 0-5 Year High Yield Corporate Bond ETF with shares held of 497,214. Whalewisdom has at least 8 13F filings

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12/31/2018

13F Sector Allocation Over Time

12/31/2018

13F Activity

  • Market Value $190.908 Million
  • Prior Market Value $205.005 Million
  • New Purchases64 stocks
  • Additional Purchases99 stocks
  • Sold out of66 stocks
  • Reduced holdings in141 stocks
  • Top 10 Holdings % 73.65 %
  • Turnover % [1]:16.03%
  • Turnover Alt % [2]: 5.11 %
  • Time Held Top20:3.25 quarters
  • Time Held Top10:4.00 quarters
  • Time Held All:3.13 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2018-11-14

Performance for Q3 2018: -2.53%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2018-12-31 - 13F-HR/A (Subscription required)
  • 2018-12-31 - 13F-HR/A (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR/A (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

SOUND INCOME STRATEGIES, LLC
6550 N FEDERAL HIGHWAY SUITE 510
FORT LAUDERDALE FL    33308
Country: United States

Business Phone: 954-487-1860
Fax: 954-337-0621
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 44
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges
Amount of client funds and securities:
Total Number of Clients: 4248
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (2),11.D (4),11.D (5),11.E (2),11.E (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Non-derivative Insider Transactions Since 12/31/2018

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SOUND INCOME STRATEGIES, LLC

ownership team - last updated 2018-06-22
Name Title Start Date Direct/Indirect % Ownership
SCRANTON, DAVID, JOSEPH MANAGING MEMBER 09/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
SOUND INCOME STRATEGIES, LLC MANAGING MEMBER direct 2014-09-01
SOUND INCOME STRATEGIES, LLC CHIEF COMPLIANCE OFFICER/MANAGING MEMBER direct 2014-09-01
KLEE, HUNTINGTON, KIMBERLEE CHIEF COMPLIANCE OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND INCOME STRATEGIES, LLC CHIEF COMPLIANCE OFFICER direct 2017-02-01
TUMA, MICHAEL, CHARLES CHIEF OPERATING OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLIENT ONE SECURITIES LLC CEO/CCO/PRESIDENT direct 2009-12-01
SOUND INCOME STRATEGIES, LLC CHIEF OPERATING OFFICER direct 2017-02-01

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