In 2019, the U.S. Securities and Exchange Commission (SEC) enacted a regulation known as Form CRS – Customer Relationship Summary, which affects all registered investment advisers and broker-dealers. The intent behind the regulation is to enhance transparency and reduce confusion over how registered investment advisers and broker-dealers differ, and to inform retail investors about:
- Services
- Fees
- Conflicts
- Standards of Conduct
- Disciplinary History
You can view a copy of our Form CRS by clicking here.
Soundmark Wealth Management, LLC (“SWM”) is an SEC registered investment adviser located in Kirkland, Washington. SWM may only transact business in those states in which it is registered or qualifies for an exemption or exclusion from registration requirements.
For information pertaining to the registration status of SWM, please contact the SEC or the state securities regulators for those states in which SWM maintains a notice filing. A copy of SWM’s current written disclosure statement discussing SWM’s business operations, services, and fees is available from SWM upon written request or by clicking here.
SWM’s web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links.
Certain portions of SWM’s web site may contain a discussion of, and/or provide access to, SWM and other investment and non-investment professionals’ positions and/or recommendations as of a specific prior date.
Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). No client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from SWM, or from any other investment professional.
To the extent that any client or prospective client utilizes any economic calculator or similar interactive device contained within or linked to SWM’s web site, the client or prospective client acknowledges and understands that the information resulting from the use of any such calculator/device, is not, and should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from SWM or from any other investment professional.
This information is intended to be used for educational purposes only and does not constitute a solicitation to purchase any security or advisory services. Past performance is no guarantee of future results. An investment in any security involves significant risks and any investment may lose value. Refer to all risk disclosures related to each security product carefully before investing.
Soundmark Wealth Management, LLC, its advisors and its affiliates do not provide tax or accounting services. This material has been prepared for informational purposes and is not intended as tax, legal or accounting advice. Please consult tax, legal or accounting professionals for specific information regarding your individual situation.
Because past performance may not be indicative of future results, no current or prospective client should assume that future performance of any specific investment, strategy, or product will be profitable or equal the corresponding indicated performance level(s).
Different types of investments involve varying degrees of risk, and there can be no assurance that any specific investment will either be suitable or profitable for a client or prospective client’s investment portfolio.
Each client and prospective client agrees, as a condition precedent to their access to SWM’s web site, to release and hold harmless SWM, its officers, directors, owners and employees from any and all adverse consequences resulting from any of their actions or omissions which are independent of their receipt of personalized individual advice from SWM.