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STRAIT & SOUND

· CRD 309306 · IAPD ↗ · straitandsound.com · (425) 577-7710

$333.7MRegulatory AUM
9Advisory reps
10Employees
0Clients
51-100Planning clients
0Private funds
7States
5Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
April 2026 — STRAIT & SOUND added office(s): 7 -> 8 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
68
April 2026 — STRAIT & SOUND now reports custody of client assets ($135.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2026 — STRAIT & SOUND grew from 7 to 9 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
53
December 2025 — STRAIT & SOUND added office(s): 6 -> 7 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
April 2025 — STRAIT & SOUND's Item 11 disclosure-reporting entries rose by 4 (1 -> 5).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
62
April 2024 — STRAIT & SOUND reported RAUM up 39% ($178.8M -> $248.3M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.