Sonata Capital Group Inc (Seattle)
Sonata Capital Group Inc is a large advisory firm based in Seattle. It manages $219.41 million of regulatory assets for 435 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Colorado, and Washington.
Sonata Capital Group provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
Sonata Capital Group: assets under management
The assets under management (AUM) of Sonata Capital Group Inc is $219.41 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 71% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
Investments
The firm invests in exchange traded securities the most. They account for 61% of the total AUM. The second-largest asset type is investment and business development companies, which make up 13% of the firm’s portfolio. Investments in investment grade corporate bonds form 10% of the total invested assets.Fees & Commissions
The advisory firm has a single stream of revenue. Clients pay Sonata Capital Group Inc for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
What kind of clients Sonata Capital Group serves?
The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Sonata Capital Group is high net worth individuals with 88 clients and $192.74 million of assets under management. Among the 9 most similar advisory firms, Sonata Capital Group has the highest percentage of high net worth individuals out of all clients.
The amount of regulatory assets under management is $219.41 million for 171 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
Sonata Capital Group doesn't advise any private funds.
Careers at Sonata Capital Group Inc
The company employs 5 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Direct owners and executive officers
Based in Seattle
The principal office where Sonata Capital Group Inc performs its advisory services is located at 2001 6 Th Ave, Seattle, WA 98121, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 206-256-4400 or by fax 206-256-4416. The normal business hours are 6:30am to 3:30 pm on Monday - Friday. You can find more information about the New York firm at sonatacapital.com.
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