AdvisorCensus / Financial advisors / Washington / Seattle / Sonata Capital Group Inc
Sonata Capital Group Inc is an SEC-registered investment advisory firm in Seattle, WA, registered since 2000, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 25, 2026.
Quick answers
From the filingHow is Sonata Capital Group Inc compensated?
On its Form ADV (Item 5.E, October 2026), Sonata Capital Group Inc reports these compensation arrangements: a percentage of assets under its management.
What does Sonata Capital Group Inc's brochure say about its fees?
Its Form ADV Part 2A brochure dated March 25, 2026 states: Up to $2,000,000: 1% a year; $2,000,000 to $5,000,000: 0.8% a year; $5,000,000 to $10,000,000: 0.5% a year; Above $10,000,000: 0.4% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Sonata Capital Group Inc located?
Sonata Capital Group Inc's principal office is in Seattle, WA, according to its Form ADV.
Is Sonata Capital Group Inc registered with the SEC or a state?
Sonata Capital Group Inc is an SEC-registered investment advisory firm, registered since 2000. Status as filed: Approved. CRD 111277.
How much does Sonata Capital Group Inc manage?
Sonata Capital Group Inc reports $360,685,424 in regulatory assets under management in its Form ADV filing dated March 25, 2026 (100% discretionary).
How have Sonata Capital Group Inc's assets and staff changed since 2021?
In the Form ADV data for Sonata Capital Group Inc: Regulatory assets under management: $281,915,117 in the October 2021 data and $360,685,424 in the October 2026 data, up 28%. Total employees: 5 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Sonata Capital Group Inc serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (119); individuals (other than high net worth individuals) (73); charitable organizations (5).
Which custodians does Sonata Capital Group Inc use?
Sonata Capital Group Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.
Does Sonata Capital Group Inc report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/111277
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2A| Assets | Annual rate |
|---|---|
| Up to $2,000,000 | 1% |
| $2,000,000 to $5,000,000 | 0.8% |
| $5,000,000 to $10,000,000 | 0.5% |
| Above $10,000,000 | 0.4% |
The brochure's wording
Our standard annual fee structure for Equity and Balanced Accounts is:
1.00% on the first $2,000,000.00
0.80% on the next $3,000,000.00
0.50% on the next $5,000,000.00
0.40% over $10,000,000.00
As stated in the firm's Form ADV Part 2A brochure dated March 25, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$360,685,424 as of October 2026, filing dated March 25, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2000 (26 years)
- Employees
- Total: 5. Performing investment advisory functions: 5.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $360,685,424 | 5 | March 25, 2026 |
| October 2025 | $332,610,026 | 5 | March 11, 2025 |
| October 2024 | $299,276,610 | 5 | March 28, 2024 |
| October 2023 | $264,257,546 | 5 | March 13, 2023 |
| October 2022 | $329,448,971 | 5 | March 17, 2022 |
| October 2021 | $281,915,117 | 5 | March 24, 2021 |
Regulatory assets under management: $281,915,117 in the October 2021 data and $360,685,424 in the October 2026 data, up 28%.
Total employees: 5 in October 2021 and 5 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Sonata Capital Group Inc (CRD 111277): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/sonata-capital-group-inc-seattle-wa-111277