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Li Guay

Strait & Sound
22 Years of Experience
Renton, WA
2 Disclosures
View SEC Summary
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Li Guay is a registered investment advisor at Strait & Sound, based in Renton, WA, with 22 years of industry experience. Li operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Business Owners, Charitable Giving, Estate Planning, and 5 more. Their firm serves 243 clients with $330M in assets under management.

Strait & Sound
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
8 advisors
Number of Clients
243 clients
Average Client Portfolio
$1.4M average
Assets Under Management
$333.7M

Fee Structure

Minimum Investment:$500K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $300K1.50%
$300K - $600K1.30%
$600K - $1.2M1.10%
$1.2M - $2.4M1.00%
$2.4M - $5.0M0.90%
$5.0M - $10.0M0.80%
$10M+0.80%

Fees for assets over $10,000,000 are negotiable. Lower fees may also be negotiated for friends, family, business beneficiaries, or clients with reduced service scope and complexity.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Renton, WA

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2017
Closed-No Action
Customer Dispute
October 2010
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Strait & Sound
August 2022 - Present · 4 yrs 2 mos
Previous Registrations
Strait & Sound
May 2022 - May 2022 · 0 mos
Gps Capital Management, LLC
December 2021 - August 2022 · 8 mos
Pg Global Wealth Management, INC.
November 2011 - August 2022 · 10 yrs 9 mos
Orca Investment Management, LLC
August 2010 - October 2011 · 1 yr 2 mos
Charles Schwab & CO., INC.
September 2003 - August 2010 · 6 yrs 11 mos
State Registrations2 states
TXWA
Advisor

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.

Exams
No exam information available for this advisor.
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