# Soundpost Advisory

> Soundpost Advisory is a state-registered investment advisory firm, registered since 2020, with no regulatory assets under management reported in its Form ADV filing dated August 5, 2022.

- CRD: 306215
- Filed as: SOUNDPOST ADVISORY
- Legal name: Soundpost Advisory, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in New York
- Filing period: October 2026
- Form ADV filing dated: August 5, 2022
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/306215
- AdvisorCensus page: https://advisorcensus.com/firm/soundpost-advisory-306215

## Quick answers

**How is Soundpost Advisory compensated?**
On its Form ADV (Item 5.E, October 2026), Soundpost Advisory reports these compensation arrangements: subscription fees (for a newsletter or periodical); other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Soundpost Advisory registered with the SEC or a state?**
Soundpost Advisory is a state-registered investment advisory firm, registered since 2020. Status as filed: APPROVED. CRD 306215.

**Does Soundpost Advisory report any disciplinary disclosures?**
Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/306215

## From the Form ADV filing

### Compensation (Item 5.E)
- Subscription fees (for a newsletter or periodical)
- Other

### Advisory services (Item 5.G)
- Other

### Firm details
- Registered since: 2020 (6 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/306215

### Websites listed on Form ADV (Item 1.I)
- soundpostadv.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Soundpost Advisory (CRD 306215): Form ADV filing data as of October 2026.