SOUND INCOME STRATEGIES, LLC

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Sound Income Strategies is based out of Ft Lauderdale. Sound Income Strategies is a large advisory firm with 7750 clients and discretionary assets under management (AUM) of $655,348,129 (Form ADV from 2019-04-05). Their last reported 13F filing for Q3 2019 included $330,788,000 in managed 13F securities and a top 10 holdings concentration of 79.76%. Sound Income Strategies's largest holding is iShares 0-5 Year High Yield Corporate Bond ETF with shares held of 830,112. Whalewisdom has at least 11 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $330.788 Million
  • Prior Market Value $289.109 Million
  • New Purchases53 stocks
  • Additional Purchases132 stocks
  • Sold out of52 stocks
  • Reduced holdings in93 stocks
  • Top 10 Holdings % 79.76 %
  • Turnover % [1]:13.82%
  • Turnover Alt % [2]: 12.30 %
  • Time Held Top20:5.60 quarters
  • Time Held Top10:7.00 quarters
  • Time Held All:5.56 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: 0.62%
Performance Last 4 Quarters: 2.82%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR/A (Subscription required)
  • 2018-12-31 - 13F-HR/A (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR/A (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

SOUND INCOME STRATEGIES, LLC
6550 N FEDERAL HIGHWAY SUITE 510
FORT LAUDERDALE FL    33308
Country: United States

Business Phone: 954-487-1860
Fax: 954-337-0621
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 43
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges
Amount of client funds and securities:
Total Number of Clients: 7750
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (2),11.D (5),11.E (2),11.E (4),11.H (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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SOUND INCOME STRATEGIES, LLC

ownership team - last updated 2019-04-05
Name Title Start Date Direct/Indirect % Ownership
SCRANTON, DAVID, JOSEPH MANAGING MEMBER 09/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
SOUND INCOME STRATEGIES, LLC MANAGING MEMBER direct 2014-09-01
SOUND INCOME STRATEGIES, LLC CHIEF COMPLIANCE OFFICER/MANAGING MEMBER direct 2014-09-01
RADLAUER, CHARLES, BURTON CHIEF COMPLIANCE OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND INCOME STRATEGIES, LLC CHIEF COMPLIANCE OFFICER direct 2018-08-01

SOUND INCOME STRATEGIES, LLC

ownership team - last updated 2019-02-04
Name Title Start Date Direct/Indirect % Ownership
SCRANTON, DAVID, JOSEPH MANAGING MEMBER 09/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
SOUND INCOME STRATEGIES, LLC MANAGING MEMBER direct 2014-09-01
SOUND INCOME STRATEGIES, LLC CHIEF COMPLIANCE OFFICER/MANAGING MEMBER direct 2014-09-01
RADLAUER, CHARLES, BURTON CHIEF COMPLIANCE OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND INCOME STRATEGIES, LLC CHIEF COMPLIANCE OFFICER direct 2018-08-01

SOUND INCOME STRATEGIES, LLC

ownership team - last updated 2018-11-07
Name Title Start Date Direct/Indirect % Ownership
SCRANTON, DAVID, JOSEPH MANAGING MEMBER 09/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
SOUND INCOME STRATEGIES, LLC MANAGING MEMBER direct 2014-09-01
SOUND INCOME STRATEGIES, LLC CHIEF COMPLIANCE OFFICER/MANAGING MEMBER direct 2014-09-01
RADLAUER, CHARLES, BURTON CHIEF COMPLIANCE OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND INCOME STRATEGIES, LLC CHIEF COMPLIANCE OFFICER direct 2018-08-01

SOUND INCOME STRATEGIES, LLC

ownership team - last updated 2018-06-22
Name Title Start Date Direct/Indirect % Ownership
SCRANTON, DAVID, JOSEPH MANAGING MEMBER 09/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
SOUND INCOME STRATEGIES, LLC MANAGING MEMBER direct 2014-09-01
SOUND INCOME STRATEGIES, LLC CHIEF COMPLIANCE OFFICER/MANAGING MEMBER direct 2014-09-01
KLEE, HUNTINGTON, KIMBERLEE CHIEF COMPLIANCE OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND INCOME STRATEGIES, LLC CHIEF COMPLIANCE OFFICER direct 2017-02-01
TUMA, MICHAEL, CHARLES CHIEF OPERATING OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLIENT ONE SECURITIES LLC CEO/CCO/PRESIDENT direct 2009-12-01
SOUND INCOME STRATEGIES, LLC CHIEF OPERATING OFFICER direct 2017-02-01

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