Sound Financial Management, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Sound Financial Management provides discretionary and non‑discretionary investment management and financial planning to individuals, high‑net‑worth clients, and charitable organizations, and also serves as a limited‑scope ERISA 3(21) advisor for employer retirement plans. Like many firms in its peer group, its advisory work is delivered on an ongoing, asset‑management basis with periodic reporting and portfolio oversight.
The firm bases investment recommendations on both fundamental and technical analysis and tailors asset allocation and security selection to each client’s stated goals, time horizon, and risk tolerance, with quarterly reviews and supplemental reviews as market conditions warrant. Custody and execution are directed to a single institutional custodian, and the firm discloses receipt of support services and research through that relationship; it manages accounts separately (does not routinely aggregate client trades), which can affect execution practices.
Noteworthy distinctions include a stated absence of an account minimum and a fee schedule that applies a single tier to the entire portfolio rather than only marginal tiers, a billing approach that differs from many peers. The firm also highlights its ERISA 3(21) plan work with a defined list of excluded asset types, provides participant education as part of plan services, and does not vote client proxies (clients receive and vote their own proxies).
Client services
Expertise
Fee options
$0 - $1,000,000: 1.00% annually Over $1,000,000+: 0.80% annually
Main office
8362 Six Forks Rd. Suite 202
Raleigh NC 27615
Advisors at this office
2
Most active in
North Carolina
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
William S
CFP®, Series 65
Raleigh, NC
Sound Financial Management, Inc.
William Sloan is a CFP® professional with eight years of experience at Sound Financial Management, Inc. in Raleigh, NC. He has been with the firm since 2016, working in a financial advisory capacity. Sound Financial Management, Inc. provides discretionary and non-discretionary investment management and financial planning to individuals, high-net-worth clients, and charitable organizations, and serves as a limited-scope ERISA 3(21) advisor for employer retirement plans. The firm uses both fundamental and technical analysis to tailor asset allocation and security selection to clients’ goals, time horizons, and risk tolerance, with ongoing portfolio oversight and quarterly reviews.
William S
CFP®, Series 63
Raleigh, NC
Sound Financial Management, Inc.
William Sloan is a CFP® professional with 33 years of experience in the financial advisory industry. He has worked at Intercarolina Financial Services, Inc. for 25 years and has been with Sound Financial Management, Inc. since 1997. Sloan holds the Series 63 license and is based in Raleigh, NC. Sound Financial Management, Inc. provides discretionary and non-discretionary asset management and financial planning services to individuals, high-net-worth clients, and charitable organizations. The firm manages approximately $110.7 million in discretionary assets, employing both fundamental and technical analysis to tailor portfolio strategies, with regular reviews for suitability, rebalancing, and tax-loss harvesting.
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