# Soundwatch Capital, LLC

> Soundwatch Capital, LLC is an SEC-registered investment advisory firm in Dallas, TX, registered since 2014, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated May 13, 2026.

- CRD: 173151
- Filed as: SOUNDWATCH CAPITAL, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Dallas, TX
- Filing period: October 2026
- Form ADV filing dated: May 13, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/173151
- AdvisorCensus page: https://advisorcensus.com/firm/soundwatch-capital-llc-dallas-tx-173151

## Quick answers

**How is Soundwatch Capital, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Soundwatch Capital, LLC reports these compensation arrangements: a percentage of assets under its management.

**What does Soundwatch Capital, LLC's brochure say about its fees?**
Its Form ADV Part 2A brochure dated May 13, 2026 states: Asset-based fee: 0.3% to 1% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Soundwatch Capital, LLC located?**
Soundwatch Capital, LLC's principal office is in Dallas, TX, according to its Form ADV.

**Is Soundwatch Capital, LLC registered with the SEC or a state?**
Soundwatch Capital, LLC is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 173151.

**How much does Soundwatch Capital, LLC manage?**
Soundwatch Capital, LLC reports $1,020,965,076 in regulatory assets under management in its Form ADV filing dated May 13, 2026 (100% discretionary).

**How have Soundwatch Capital, LLC's assets and staff changed since 2021?**
In the Form ADV data for Soundwatch Capital, LLC: Regulatory assets under management: $413,212,854 in the October 2021 data and $1,020,965,076 in the October 2026 data, up 147%. Total employees: 4 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 Soundwatch Capital, LLC serve?**
By number of clients on Form ADV Item 5.D: investment companies (1).

**Which custodians does Soundwatch Capital, LLC use?**
Soundwatch Capital, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets.

**Does Soundwatch Capital, LLC 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/173151

**Does Soundwatch Capital, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated May 13, 2026 says: "The Registrant generally requires a minimum account size of $250,000 for SMA clients."

**What changed in Soundwatch Capital, LLC's recent Form ADV filings?**
In the June 2026 filing data: Reported a succession: took over the business of Soundwatch Capital, LLC (CRD 173151) on April 22, 2026. Employees performing advisory functions went from 5 to 4. Registered or notice-filed in TX. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated May 13, 2026)

- Asset-based fee: 0.3% to 1% a year (a range, as the brochure states it)

> The Registrant’s standard annual investment advisory fee for SMA clients shall vary from 0.30% up to 1.00% of the total assets placed under the Registrant’s management / advisement and shall be based upon certain criteria

- Account minimum: $250,000

> The Registrant generally requires a minimum account size of $250,000 for SMA clients.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Fidelity Brokerage Services LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $1,020,965,076
- Discretionary: $1,020,965,076
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 1 | $163,962,870 |
| Other investment advisers | Fewer than 5 | $857,002,206 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2014 (11 years)
- Employees: 5 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $413,212,854 | 4 | June 25, 2021 |
| October 2022 | $554,383,092 | 4 | September 30, 2022 |
| October 2023 | $516,599,589 | 4 | June 9, 2023 |
| October 2024 | $637,847,396 | 4 | March 26, 2024 |
| October 2025 | $795,152,653 | 5 | May 5, 2025 |
| October 2026 | $1,020,965,076 | 5 | May 13, 2026 |

Regulatory assets under management: $413,212,854 in the October 2021 data and $1,020,965,076 in the October 2026 data, up 147%.
Total employees: 4 in October 2021 and 5 in October 2026.

## Changes in the filing (last 12 months)

### June 2026
- Reported a succession: took over the business of Soundwatch Capital, LLC (CRD 173151) on April 22, 2026.
- Employees performing advisory functions went from 5 to 4.
- Registered or notice-filed in TX.
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Employees performing advisory functions went from 4 to 5.
- Regulatory assets under management went from $795,152,653 to $958,200,568 (+21%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Soundwatch Capital, LLC (CRD 173151): Form ADV filing data as of October 2026.