# Strait & Sound

> Strait & Sound is an SEC-registered investment advisory firm in Seattle, WA, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 309306
- Filed as: STRAIT & SOUND
- Legal name: Strait & Sound Wealth Management LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Seattle, WA
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/309306
- AdvisorCensus page: https://advisorcensus.com/firm/strait-and-sound-seattle-wa-309306

## Quick answers

**How is Strait & Sound compensated?**
On its Form ADV (Item 5.E, October 2026), Strait & Sound reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**How much does Strait & Sound charge?**
Its Form ADV Part 2A brochure dated March 31, 2026 states: Hourly rate: $500 an hour (Investment Consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Strait & Sound located?**
Strait & Sound's principal office is in Seattle, WA, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F).

**Is Strait & Sound registered with the SEC or a state?**
Strait & Sound is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 309306.

**How much does Strait & Sound manage?**
Strait & Sound reports $333,725,811 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**How have Strait & Sound's assets and staff changed since 2021?**
In the Form ADV data for Strait & Sound: Regulatory assets under management: $101,713,459 in the October 2021 data and $333,725,811 in the October 2026 data, up 228%. Total employees: 4 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Strait & Sound serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (213); high net worth individuals (30).

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

**Does Strait & Sound report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), and 11.D(4) (another regulator's order in the past ten years). 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 SEC record: https://adviserinfo.sec.gov/firm/summary/309306

**Does Strait & Sound state an account minimum?**
Its Form ADV Part 2A brochure dated March 31, 2026 says: "Generally, we require that you place $500,000 under management with us. However, we may waive that minimum at our sole discretion."

**What changed in Strait & Sound's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 7 to 9. Added an office in San Francisco, CA. No longer lists an office in Burlingame, CA.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- Account minimum: $500,000 (the brochure says it may be waived or negotiated)

> Generally, we require that you place $500,000 under management with us. However, we may waive that minimum at our sole discretion.

- Hourly rate: $500 an hour (Investment Consulting services)

> When Investment Consulting services are provided to clients who opt not to engage us for Asset Management services, we charge an hourly fee of $500.

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.
- Pershing 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: $333,725,811
- Discretionary: $333,725,811
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 213 | $191,845,860 |
| High net worth individuals | 30 | $141,879,951 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other

### Firm details
- Registered since: 2020 (6 years)
- Employees: 10 total, 9 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, ID, NE, NV, OR, TX, WA
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(3): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related 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 SEC record: https://adviserinfo.sec.gov/firm/summary/309306

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Bellevue, WA
- San Francisco, CA

### Websites listed on Form ADV (Item 1.I)
- straitandsound.com
- LinkedIn @strait-and-sound

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $101,713,459 | 4 | July 20, 2021 |
| October 2022 | $126,936,662 | 7 | September 15, 2022 |
| October 2023 | $178,811,769 | 8 | June 28, 2023 |
| October 2024 | $248,280,455 | 8 | March 30, 2024 |
| October 2025 | $303,923,751 | 8 | July 29, 2025 |
| October 2026 | $333,725,811 | 10 | March 31, 2026 |

Regulatory assets under management: $101,713,459 in the October 2021 data and $333,725,811 in the October 2026 data, up 228%.
Total employees: 4 in October 2021 and 10 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 7 to 9.
- Added an office in San Francisco, CA.
- No longer lists an office in Burlingame, CA.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Strait & Sound (CRD 309306): Form ADV filing data as of October 2026.