Frederick D. Gartenlaub

SOUND ASSET MANAGEMENT

MASON, OH 45040

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CRD#: 5341600

Professional summary

Frederick David Gartenlaub, CFP® is a registered financial advisor currently at SOUND ASSET MANAGEMENT, INC. located in Mason, Ohio.

Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Frederick has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

FREDERICK D. GARTENLAUB IS SOLE MEMBER OF GARDEN LEAF FINANCIAL SERVICES LLC. LOCATED AT 969 READING RD SUITE K, MASON, OH 45040, SINCE 2009. THAT COMPANY PROVIDES SERVICES RELATING TO THE PREPARATION OF INCOME TAX RETURNS, AND REPRESENTATION OF CLIENTS BEFORE THE INTERNAL REVENUE SERVICE. REFERRALS MAY BE MADE BETWEEN GARDEN LEAF FINANCIAL SERVICES LLC AND SOUND ASSET MANAGEMENT, INC. FOR PROVIDING THE SERVICES PERTINENT TO EACH. THERE IS NO COMPENSATION PAID FROM EITHER COMPANY TO THE OTHER FOR REFERRALS. THE DECISION TO USE EITHER COMPANY IS LEFT TO THE SOLE DISCRETION OF THE CLIENT. MR. GARTENLAUB SPENDS APPROXIMATELY 150 HOURS PER MONTH PERFORMING HIS DUTIES FOR GARDEN LEAF FINANCIAL SERVICES. THE HOURS VARY, WITH MANY MORE HOURS BEING SPENT DURING INCOME TAX FILING SEASON FROM MID JANUARY THROUGH MID APRIL.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick David Gartenlaub's 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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

June 22, 2007 - Present

SOUND ASSET MANAGEMENT, INC.

Office #1: 969 Reading Rd Suite K, Mason, OH 45040

RIA

CRD#: 144170

MASON, OH

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

Ohio
(6/22/2007)

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

SOUND ASSET MANAGEMENT, INC.

CRD#: 144170 / SEC#:

Ohio

Registered Investment Advisory firm - (6/20/2007 Approved)

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Contact information

Main Address

969 Reading Rd, Suite K, Mason, OH 45040

Mailing Address

Phone number

(513) 755-8297

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	95
AUM (Assets Under Management)	$ 14,331,379

Red Flags

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Frederick D. Gartenlaub

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick David Gartenlaub's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUND ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Current Firm

SOUND ASSET MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOUND ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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