Sound Financial Investment Management, LLC

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Client assets under management

Clients

259

0% high-net-worth

Advisors

of 2 employees

Firm type

Supported

1-4 advisors or >$200M in AUM

Clients per advisor

130

Very High

Average account size

About

Sound Financial Investment Management, LLC provides portfolio management, financial planning, pension consulting and participant education, and also offers educational seminars for clients and plan participants. The firm serves individuals, high‑net‑worth individuals, and ERISA retirement plan participants and documents each client’s objectives and constraints in a written Investment Policy Statement.

The firm applies fundamental and technical analysis and employs both long‑term and short‑term trading strategies, with accounts reviewed at least quarterly and financial plans delivered on a one‑time basis unless additional work is requested. Rather than holding custody of assets directly, the firm refers client assets to third‑party advisers (including Matson Money, AssetMark and SEI), conducts due diligence and ongoing performance reviews, and receives fee shares from those relationships; it also does not accept discretionary trading authority over client accounts.

Distinctive features disclosed in the brochure include an affiliation with an insurance agency and licensed representatives who may sell commissionable insurance and brokerage products, a conflict the firm notes and documents for clients. The firm also requires use of its recommended custodians, provides retirement plan participant education as a formal service, and limits ongoing financial reporting from the adviser to custodian statements unless clients pay for additional plan updates.

Client services

Portfolio management Pension consulting Selection of other advisers Educational seminars or workshops

Expertise

Retirement plans for business owners (SEP, solo 401k) Annuities

Fee options

Fixed

Pension consulting services: annual flat fee up to $15,000, collected quarterly in arrears by Third-Party Administrator.

Percentage

$0 - $4,000,000: 0.4% up to 1.4% (SFIM) + 0.50% up to 1.10% (Matson Money) + 0.25% to 0.75% (AssetMark & SEI) = up to 2.50% max total fee Over $4,000,000+: 0.4% up to 1.0% (SFIM) + 0.50% up to 1.10% (Matson Money) + 0.25% to 0.75% (AssetMark & SEI) = up to 2.10% max total fee

Commissions

Representatives accept commissions from sale of securities and insurance products; conflicts of interest disclosed.

Main office location

Sound Financial Investment Management, LLC

320 James E. Bohanan Drive

Vandalia OH 45377, United States

Number of offices

Most active in

Ohio

Disclosures

Business activities & affiliations

Is active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Is not active or affiliated with:

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

Facebook X Website 937-264-9300

Advisors at this firm

Christopher S

Series 63

Vandalia, OH

Sound Financial Investment Management, LLC

Christopher Strehle is a financial advisor with Sound Financial Investment Management, LLC, holding a Series 63 designation and 27 years of industry experience. He has worked at firms including Osaic Wealth, Inc., Triad Advisors, LLC, and Dynamic Employee Solutions, LLC. He is president of Sound Financial Solutions, Inc., which sells non-investment insurance products through an affiliated insurance agency. Sound Financial Investment Management, LLC provides portfolio management, financial planning, pension consulting, and participant education services to individuals, high-net-worth clients, and ERISA retirement plan participants. The firm utilizes both fundamental and technical analysis with long- and short-term strategies, referring client assets to third-party advisers while conducting due diligence and ongoing performance reviews.

Retirement plans for business owners (SEP, solo 401k) Annuities

Cory D

CFP®, Series 66

Vandalia, OH

Sound Financial Investment Management, LLC

Cory Davenport is a CFP® professional with 20 years of experience, currently serving at Sound Financial Investment Management, LLC since 2012. He also operates Davenport Financial Group, an insurance agency offering various insurance products. Sound Financial Investment Management, LLC provides portfolio management, financial planning, pension consulting, and educational seminars to individuals, high-net-worth clients, and ERISA retirement plan participants. The firm employs both fundamental and technical analysis with a combination of long-term and short-term trading strategies, referring client assets to third-party advisers while conducting due diligence and ongoing performance reviews.

Retirement plans for business owners (SEP, solo 401k) Annuities

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