SEC-registered independent wealth management RIA
Sound & Secure Advisors LLC
As of its Form ADV filed March 27, 2026, Sound & Secure Advisors LLC, an SEC-registered independent wealth management RIA in Rockville Centre, New York, reported $41.3 million in regulatory assets under management across 187 accounts, ranking #642 among independent RIAs in New York by assets.
Registration
- Main office
- Rockville Centre, NY
- Registration
- SEC-registered, Approved
- CRD number
- 322514
- SEC file number
- 801-126332
- Registered since
- July 29, 2022
- Latest Form ADV filing
- March 27, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $41.3 million
- Discretionary
- $41.3 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 187 (187 discretionary)
- Clients
- 98, approximate as reported
- Employees
- 1
- Advisory staff
- 1 performing investment advisory functions
- Average account
- $220,941
- Asset growth, 1 year
- 24.6% (from $33.2 million a year earlier)
- Asset growth, 3-year annual rate
- -4.0% (from $46.7 million three years earlier)
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- 7.7% (from 91)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 3, 2022 | $0 |
| October 5, 2023 | $46.7 million |
| October 1, 2024 | $30.0 million |
| September 2, 2025 | $33.2 million |
| October 2, 2026 | $41.3 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 91 clients | $28.4 million | |
| High net worth individuals 7 clients | $12.9 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
Financial planning clients (Item 5.H): 11-25.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Accountant or accounting firm
Custody (Item 9)
The firm reported custody of client cash or securities, $4.9 million in total.
Investment adviser representatives
- IARs registered with the firm
- 1
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 1
Designations held by the firm's IARs: CFP 1.
0 of the firm's 1 IAR are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| Pricap Advisors LLC | New York | $41.7 million |
| WGS Management Services, Inc | Rochester | $41.6 million |
| Acacia Grove Wealth Management | Schenectady | $41.6 million |
| Twentythree Advisory | New York | $41.1 million |
| Spano Advisory Services Inc. | Mahopac | $41.0 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Sound & Secure Advisors LLC on IAPD: Form ADV, brochures and disclosure detail.
- Independent RIAs in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.