Sonata Capital Group Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$357,372,821
Clients
192
Advisors
5
of 5 employees
About
Sonata provides discretionary portfolio management and related financial planning guidance to individuals, high-net-worth individuals, trusts, charitable institutions, foundations, and endowments. The firm establishes client guidelines at the outset, monitors them over time, and coordinates with clients’ estate planning attorneys and tax professionals as part of its advisory process.
Sonata’s primary investment strategy is asset allocation, using both fundamental and technical analysis to allocate among equities, fixed income, and cash based on a client’s time horizon and risk tolerance. The firm includes options contracts among its permissible securities and uses derivatives within separately managed accounts, a practice that is relatively uncommon among peer team firms.
Managing roughly $360.7 million in discretionary assets for about 192 clients with a small advisory team, Sonata maintains daily portfolio pricing to support monitoring and delivers monthly or quarterly written reports. The firm may execute fixed-income trades away from its primary custodian when inventory considerations make that advantageous and also consults a modestly compensated network of industry “Ambassadors” for specialized, real-situation analysis.
Client services
Expertise
Fee options
$0 - $2,000,000: 1.00% $2,000,001 - $5,000,000: 0.80% $5,000,001 - $10,000,000: 0.50% $10,000,001+: 0.40%
Main office
2001 6th Avenue, Suite 3410
Seattle WA 98121
Advisors at this office
5
Most active in
California · Colorado · Washington
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Max M
Series 65
Seattle, WA
Sonata Capital Group Inc
Max Mccain is a financial advisor at Sonata Capital Group Inc in Seattle, WA, holding a Series 65 designation with 24 years of industry experience. He has been with Sonata Capital Group since 2000. Sonata Capital Group provides discretionary portfolio management to individuals, high-net-worth clients, trusts, charitable institutions, foundations, and endowments, managing approximately $332.6 million in client assets. The firm’s investment approach emphasizes asset allocation across stocks, bonds, and cash tailored to client needs, using both fundamental and technical analysis, and incorporates derivatives within separately managed accounts.
Peter A
Series 65
Seattle, WA
Sonata Capital Group Inc
Peter Acker is a Series 65–licensed financial advisor with Sonata Capital Group Inc in Seattle, WA, where he has worked since 2000. He has 24 years of industry experience and is part of a five-advisor team. Sonata Capital Group provides discretionary portfolio management to individuals, high-net-worth clients, trusts, charitable institutions, foundations, and endowments, managing approximately $332.6 million in client assets. The firm’s investment approach focuses on asset allocation tailored to clients’ time horizons and risk tolerances, utilizing both fundamental and technical analysis and a broad set of instruments, including derivatives, within separately managed accounts.
David H
Series 63, Series 65
Seattle, WA
Sonata Capital Group Inc
David Hill is a financial advisor at Sonata Capital Group Inc in Seattle, WA, with 22 years of industry experience. He holds Series 63 and Series 65 designations and has been with Sonata Capital Group since 2002. Sonata Capital Group provides discretionary portfolio management to individuals, high-net-worth clients, trusts, charitable institutions, foundations, and endowments, managing approximately $332.6 million in client assets. The firm’s investment process focuses on asset allocation across stocks, bonds, and cash tailored to client time horizons and risk tolerance, utilizing both fundamental and technical analysis, and employs derivatives within separately managed accounts.
Timothy C
Seattle, WA
Sonata Capital Group Inc
Timothy Cummins is a financial advisor at Sonata Capital Group Inc with 25 years of industry experience. He has been with Sonata Capital Group since 2000. Sonata Capital Group provides discretionary portfolio management to individuals, high-net-worth clients, trusts, charitable institutions, foundations, and endowments, managing approximately $332.6 million in client assets. The firm’s investment approach emphasizes asset allocation tailored to clients’ time horizons and risk tolerances, using both fundamental and technical analysis and a broad range of instruments, including options and derivatives.
Shana M
Series 63, Series 65
Seattle, WA
Sonata Capital Group Inc
Shana Moffatt is a financial advisor at Sonata Capital Group Inc with 23 years of industry experience. She holds Series 63 and Series 65 licenses and has been with Sonata Capital Group since 2000. Sonata Capital Group provides discretionary portfolio management to individuals, high-net-worth clients, trusts, charitable institutions, foundations, and endowments. The firm’s investment approach centers on asset allocation tailored to clients’ time horizons and risk tolerance, employing both fundamental and technical analysis while utilizing a broad range of instruments including options and derivatives.
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