Sound Income Strategies, LLC

Registered investment adviser · Fort Lauderdale, FL · CRD #173272

Form ADV data as of 2026-09-01

Regulatory assets

$4.18 billion

Total accounts

24,756

Employees

134

Disclosure events

Firm details

Website: https://thecapitalizedretirement.com
Telephone: 954-487-1860
SEC file number: 801-80425
Most recent Form ADV filing: 2026-01-23
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 6 disclosure questions answered Yes, covering 12 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
Another regulator denied, suspended, or revoked a registration or restricted activity
A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$3.92 billion
Non-discretionary regulatory assets under management	$261.6 million
Total regulatory assets under management	$4.18 billion
Discretionary accounts	22,197
Non-discretionary accounts	2,559
Total accounts	24,756
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	134
Employees performing investment advisory functions (including research)	134
Employees who are registered representatives of a broker-dealer	1
Employees registered as investment adviser representatives with a state	134
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	127
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for investment companiesEducational seminars/workshops

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerAccountant or accounting firmInsurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends securities for which it serves as underwriter or general partner
Recommends brokers or dealers to clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	24,261	$3.38 billion
High net worth individuals	473	$786.2 million
Investment companies	1	Not reported
Pension and profit sharing plans (not the participants or government plans)	4	$3.9 million
Corporations or other businesses not listed above	18	$14.7 million