Dwight Rich
Dwight Rich is a CFP-designated registered investment advisor at Sound Income Strategies, LLC, based in Louisville, KY, with 30 years of industry experience. Dwight operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning. Their firm serves 24,757 clients with $4.2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Sound Income Strategies (SIS) manages investment portfolios for a fee based on the value of your portfolio. The annual fee can be up to 1.75% of the value of your portfolio. For a limited group of clients with special needs, the fee can be up to 2.0%. The fee is usually billed monthly, but can be negotiated to be billed quarterly. If SIS uses a third-party investment manager for part of your portfolio, you won't pay any extra fees.
Location
9850 Von Allmen Court, Suite 201, Louisville, KY, 40241
Get directionsHistory
Regulatory History (2)
Financial
August 2017Employment Separation After Allegations
January 2017Other Business ActivitiesSells Insurance
Dwight sells fixed annuities, fixed insurance, and life insurance through Rich Wealth Management, LLC, taking about 10-20% of his time. He also serves as Owner/President of Rich Wealth Management, LLC, dedicating most of his time to servicing clients for investment advisory services. Additionally, Dwight is a freelance video editor, spending a few hours per week on this non-investment related activity.
Employment History
Current Registrations
Sound Income Strategies, LLC
Previous Registrations
International Assets Investment Management, LLC
International Assets Advisory, LLCBroker
International Assets Investment Management, LLC
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Painewebber IncorporatedBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.