9AT: STRAIT & SOUND

Adviser Profile

As of Date	03/31/2026
Registration	SEC, Approved, 06/12/2020
Other registrations (1)	California, Terminated, 04/28/2021
Contact Info	(42 xxxxxxx
Websites

AUM^*	333,725,811 34%
of that, discretionary	333,725,811 38%
Number of Employees	10 25%
of those in investment advisory functions	9 29%
Private Fund GAV^*	0
Avg Account Size	478,117 17%
% High Net Worth	12.35% -14%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser ROCHESTER FINANCIAL SERVICES	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM340.6m	#Funds-
Adviser STRATEGIC PLANNING, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM376.6m	#Funds-
Adviser MAGNOLIA WEALTH MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM183.3m	#Funds-
Adviser SYNTEGRA PRIVATE WEALTH GROUP LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.4b	#Funds-
Adviser ANTOINE WILLIAMS & ASSOCIATES WEALTH MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM318.9m	#Funds-
Adviser INMAN FINANCIAL SERVICES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM197.5m	#Funds-
Adviser AXIM PLANNING & WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM127.2m	#Funds-
Adviser LAKESHORE FINANCIAL PLANNING INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM469.3m	#Funds-
Adviser STRATEGIC ADVOCATES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM33.7m	#Funds-
Adviser DENVER WEALTH MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM529.8m	#Funds-

Brochure Summary

Overview

Who we are Strait & Sound Wealth Management LLC dba Strait & Sound (referred to as “we,” “our,” or “us”), was formed in March 2020 has been registered as an investment advisor with the SEC since June 2020. Strait & Sound is owned by Todd Sixt, Chief Executive Officer, through Hamilton Advisors LLC, Mel Lee, Chief Compliance Officer, through Hamilton Advisors LLC, Daniel Barnes, Chief Investment Officer through Uncommon Counsel, LLC, and Cory Baer, Chief Business Development Officer through Three Baer's Holding LLC.
Investment Management Services We offer wealth management on a discretionary and non-discretionary basis. Most services are on a discretionary basis. However, due to the complex nature of many clients’ lives, we inherently consider non-discretionary assets in crafting, guiding and creating strategies for management and planning.
We often conduct discovery process in the beginning of a client relationship. We document their profiles and preferences so that we may align their expectations with our strategies and planning to achieve their financial and life goals.
Clients may impose reasonable restrictions on investments in certain securities or types of securities. Any investment restrictions will be confirmed in writing with the client.
We do not provide portfolio management services to a wrap fee program.
Investment Consulting Services Investment Management derives its

mandate from the discovery of client information. It is this information which includes the values, goals, relationships, assets, experiences, and interests which informs the investment policy statement and investment action plan of the Investment Management at Strait & Sound. The scope of this includes financial planning, retirement planning, financial analysis of assets and liabilities, portfolio design, goals assessment, cash flow analysis, historical assessments, charitable planning strategies, tax optimization strategies, asset protection strategies, and review of other aspects relevant to the investment decision making process which stewards of wealth need to make good decisions.
Most clients agree to an investment management agreement whereby they pay a percentage of their assets under management to our firm quarterly. Upon occasion and as an exception to our standard business practice we maintain the discretion to accept clients on an hourly consulting basis.
The scope of the hourly work we perform for such clients can be wide ranging. In essence, we are providing the appropriate due diligence and discovery necessary to advise and guide and make recommendations and provide investment strategy and guidance, similar to our investment management clients.
Assets under management As of February 27, 2024, we manage assets of $241.9 million on a discretionary basis and $6.4 million on a non-discretionary basis.

STRAIT & SOUND

STRAIT & SOUND

STRAIT & SOUND WEALTH MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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STRAIT & SOUND STRAIT & SOUND STRAIT & SOUND WEALTH MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

STRAIT & SOUND

STRAIT & SOUND

STRAIT & SOUND WEALTH MANAGEMENT LLC