Michael S. Sondheim

SOUTH COVE FINANCIAL

Henderson, NV

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CRD#: 4315025

Professional summary

Michael Steven Sondheim, who also goes by Michael Steve Sondheim, is a registered financial advisor currently at SOUTH COVE FINANCIAL, LLC located in Henderson, Nevada.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Michael has worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Steve Sondheim

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven Sondheim's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 16, 2019 - Present

SOUTH COVE FINANCIAL, LLC

RIA

CRD#: 284554

Henderson, NV

Past

March 13, 2017 - April 8, 2019

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

KIRKLAND, WA

Past

June 1, 2016 - March 10, 2017

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Bellevue, WA

Past

April 28, 2015 - June 7, 2016

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

BELLEVUE, WA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOUTH COVE FINANCIAL, LLC

ASCENT CAPITAL MANAGEMENT, LLC | SOUTH COVE FINANCIAL, LLC | PILE, CAROLYN MARIE

CRD#: 284554 / SEC#: 801-131362

RIA

Registered Investment Advisory firm - (11/4/2024 Approved)

Nevada

Registered Investment Advisory firm - (8/4/2025 Terminated)

Washington

Registered Investment Advisory firm - (7/28/2025 Termination Requested)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(4/16/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/26/2015

Uniform Investment Adviser Law Examination

Current Firm

SOUTH COVE FINANCIAL, LLC

ASCENT CAPITAL MANAGEMENT, LLC | SOUTH COVE FINANCIAL, LLC | PILE, CAROLYN MARIE

CRD#: 284554 / SEC#: 801-131362

RIA

Registered Investment Advisory firm - (11/4/2024 Approved)

Nevada

Registered Investment Advisory firm - (8/4/2025 Terminated)

Washington

Registered Investment Advisory firm - (7/28/2025 Termination Requested)

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Contact information

Main Address

Henderson, NV

Mailing Address

Phone number

(206) 914-4132

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2B MICHAEL SONDHEIM IAR 2025 BROCHURE (8/6/2025)

PART 2B CAROLYN HORADAN IAR 2025 BROCHURE (8/6/2025)

PART 2B BRYAN FRUTCHEY IAR 2025 BROCHURE (8/6/2025)

ADV PART 2A (7/28/2025)

Regulatory assets under management

Total Number of Accounts	378
AUM (Assets Under Management)	$ 145,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael S. Sondheim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven Sondheim's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTH COVE FINANCIAL, LLC

BROOKSTONE WEALTH ADVISORS, LLC

AE WEALTH MANAGEMENT, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Primary Firm SEC Registration

SOUTH COVE FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/26/2015

Current Firm

SOUTH COVE FINANCIAL, LLC

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUTH COVE FINANCIAL, LLC

TRUST BUT VERIFY

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