Daniel A. Barnes

STRAIT & SOUND

Seattle, WA

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CRD#: 5143840

Professional summary

Daniel Allen Barnes, who also goes by Dan Barnes, is a registered financial advisor currently at STRAIT & SOUND located in Seattle, Washington.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Daniel has worked at 4 firms .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Barnes

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 Daniel Allen Barnes's CRS (Customer Relationship Summary).

August 10, 2006 - May 8, 2021

BARNES CAPITAL

RIA

CRD#: 140572

Lafayette, CA

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".

STRAIT & SOUND

STRAIT & SOUND | STRAIT & SOUND WEALTH MANAGEMENT LLC

CRD#: 309306 / SEC#: 801-118892

RIA

Registered Investment Advisory firm - (6/12/2020 Approved)

California

Registered Investment Advisory firm - (4/28/2021 Terminated)

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

California
(9/1/2020)

IAR

Texas
(6/2/2022)

IAR

Washington
(9/1/2020)

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

Current Firm

STRAIT & SOUND

STRAIT & SOUND | STRAIT & SOUND WEALTH MANAGEMENT LLC

CRD#: 309306 / SEC#: 801-118892

RIA

Registered Investment Advisory firm - (6/12/2020 Approved)

California

Registered Investment Advisory firm - (4/28/2021 Terminated)

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Contact information

Main Address

San Francisco, CA

Mailing Address

P.o. Box 22391, San Francisco, CA 94122

Phone number

(425) 577-7710

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE DOCUMENT FOR ALL CLIENTS (7/29/2025)

Regulatory assets under management

Total Number of Accounts	658
AUM (Assets Under Management)	$ 303,923,751

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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Daniel A. Barnes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Allen Barnes's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRAIT & SOUND

KARP CAPITAL MANAGEMENT CORPORATION

RB CAPITAL MANAGEMENT, LLC

RB CAPITAL MANAGEMENT, LLC

BARNES CAPITAL

Primary Firm SEC Registration

STRAIT & SOUND

State Registrations and Notice Filings

Exams

Current Firm

STRAIT & SOUND

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRAIT & SOUND

TRUST BUT VERIFY

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