Frequently Asked Questions

Have a question for us that is not addressed below?  Please, email us or give us a call.  

What does "investible assets" include?

We are able to manage the following types of accounts. Tax-advantaged accounts would include; 401k, 403b, Profit Sharing Plans, IRAs, Roth IRAs, SEP-IRAs, SIMPLE IRAs, and Variable Annuities. Taxable accounts would include; Brokerage Accounts, Trust Accounts, and Organizational Accounts.  

What is "fee-only"?

NAPFA defines a Fee-Only financial advisor as one who is compensated solely by the client with neither the advisor nor any related party receiving compensation that is contingent on the purchase or sale of a financial product. In other words, we are only compensated by the annual fee that our clients pay us. 

What is a CFP®?

CFP® professionals have completed extensive training and experience requirements and are held to rigorous ethical standards. They understand all the complexities of the changing financial climate and will make recommendations in your best interest. Learn more by visiting www.cfp.net/about-cfp-board/cfp-certification-the-standard-of-excellence.

Do you offer hourly planning services?

We no longer provide hourly planning services. In our experience it is extremely difficult for an hourly planner to provide proactive advice when you need it. We found that people often make significant financial decisions without understanding the impact. Our clients have access to us at any time. When we receive an email or phone call with a question, we already understand their entire financial situation. We can advise them in the full context of their goals, needs, and resources.

Do you provide advice on 401ks or Variable Annuities?

In most cases, we are able to manage our client's company retirement accounts on their behalf.  Aside from investment management within your retirement account, we offer a great deal of expertise to help you navigate more complex plans in the Pacific Northwest, such as the UW and Boeing retirement systems.  We are also able to manage and discuss variable annuity products with our clients in detail. 

I don't think that I am a good fit, what should I do for now?

You’ve come this far, we want to empower you to keep moving forward, even if working with SoundView is not appropriate for you right now. We collaborate with a network of professionals with skill and integrity that might be able to help.  Please, let us help you.  Also, feel free to utilize our media library, which includes “Helpful Handouts” and other ways to educate yourself.  

Where are my assets held?

Charles Schwab & Co, Inc., member SIPC. Schwab Advisor Services serves independent investment advisors and includes the custody, trading and support services of Schwab. SoundView Advisors is not owned by, affiliated with or supervised by Schwab.

and/or

Pershing Advisor Solutions LLC, member FINRA, SIPC, is a wholly owned subsidiary of The Bank of New York Mellon Corporation (BNY Mellon). Clearing, custody, or other brokerage services may be provided by Pershing LLC, member FINRA, NYSE, SIPC. Pershing Advisor Solutions relies on its affiliate Pershing LLC to provide execution services.

 

There are no warranties, expressed or implied, as to accuracy, completeness, or results obtained from any information posted on this or any 'linked' website. 

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Who We Serve

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Getting Started

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New Client Onboarding 

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