Sound Financial, Llc
- Regulatory AUM
- $211M
- Discretionary
- $179M
- Clients
- 248
- Avg AUM / client
- $850K
- Accounts
- 786
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 180 | $85.0M | 40.3% |
| High net worth individuals | 68 | $126M | 59.7% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Amplio Corporation 401(k) Plan Amplio Corporation | 2024 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Paul L Adams | Ceo | Mar 2015 (11y) | ≈ 25% – 56.25% via Galt's Refuge Llc | |
| Cory Edwin Shepherd | President & Chief Compliance Officer | CFP Chartered Financial Consultant | Feb 2018 (9y) | ≈ 6.25% – 25% via Cordan Llc |
| Jeffrey Frank Miller | Owner | Jan 2021 (6y) | ≈ 7.5% – 25% via Trje Capital Llc | |
| Maranda Jean Blackwell | Registered representative | Dec 2019 (7y) | ||
| Elijah Fowler | Registered representative | Dec 2023 (3y) | ||
| Lance Allen Chisum | Registered representative | Sep 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Galt's Refuge Llc | Owner | Jan 2021 | A | 50% – 75% |
| Cordan Llc | Owner | Jan 2021 | A | 25% – 50% |
| Trje Capital Llc | Owner | Jan 2021 | A | 10% – 25% |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Paul L Adams: 50% – 75% of Galt's Refuge Llc × 50% – 75% direct ≈ 25% – 56.25% of the firm
- Cory Edwin Shepherd: 25% – 50% of Cordan Llc × 25% – 50% direct ≈ 6.25% – 25% of the firm
- Jeffrey Frank Miller: 75% – 100% of Trje Capital Llc × 10% – 25% direct ≈ 7.5% – 25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Amplio Corporation 401(k) Plan | Amplio Corporation | 131 | $9.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/06/2026 | 984 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Betterment Securities $116M (69% of AUM) Nov 2025
- Mtg, Llc $87.4M (73% of AUM) Dec 2022
- Assetmark Brokerage, Llc $16.0M (13% of AUM) Dec 2022
- Charles Schwab & Co. $922K (0% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 30, 2026.
View current Form ADV (SEC/IAPD) ↗