Sean Sternbach

CLOUD CAPITAL

BOCA RATON, FL

Some features on this profile are disabled

CRD#: 7455409

Professional summary

Sean Sternbach is a registered financial advisor currently at CLOUD CAPITAL located in Boca Raton, Florida.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Sean has worked at 1 firm and has passed the Series 65 exam.

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.

Managing Partner of Community Access Fund, a venture capital fund located 925 4th Ave, Suite 2900, Seattle WA 98104 - time spent 24 hours a month - 0 time during market hours; Co-Founder of Venture Out Startups, LLC, a business startup fund and educational services. Located 1037 NE 65th Street #82036, Seattle WA 98115 - time spent 2 hours a month and 0 during market hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Sternbach'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

February 28, 2023 - Present

CLOUD CAPITAL

RIA

CRD#: 317325

BOCA RATON, FL

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".

CLOUD CAPITAL

CLOUD CAPITAL | CLOUD CAPITAL, LLC | CLOUD CAPITAL MANAGEMENT, LLC

CRD#: 317325 / SEC#: 801-128329

RIA

Registered Investment Advisory firm - (8/15/2023 Approved)

Washington

Registered Investment Advisory firm - (9/28/2023 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

Florida
(4/2/2025)

IAR

Washington
(2/28/2023)

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: 2/27/2023

Uniform Investment Adviser Law Examination

Current Firm

CLOUD CAPITAL

CLOUD CAPITAL | CLOUD CAPITAL, LLC | CLOUD CAPITAL MANAGEMENT, LLC

CRD#: 317325 / SEC#: 801-128329

RIA

Registered Investment Advisory firm - (8/15/2023 Approved)

Washington

Registered Investment Advisory firm - (9/28/2023 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

450 Alaskan Way S Suite 200, Seattle, WA 98104

Mailing Address

Phone number

(800) 795-4303

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (9/22/2025)

Regulatory assets under management

Total Number of Accounts	230
AUM (Assets Under Management)	$ 189,895,038

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sean Sternbach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Sternbach's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLOUD CAPITAL

Primary Firm SEC Registration

CLOUD CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/2023

Current Firm

CLOUD CAPITAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLOUD CAPITAL

TRUST BUT VERIFY

Similar Advisors