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Sound Income Strategies, LLC — 13F Holdings & Portfolio

CIK 1730960 · latest 13F-HR filed 2026-10-09

Backtest portfolio

Sound Income Strategies, LLC manages $2.24B in 13F-reported U.S. long-equity assets across 478 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are HTGC (2.79%), ARCC (2.67%), OBDC (2.52%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 53 new positions and exited 58; 119 existing positions rose in reported value and 190 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$2.24B

Long-equity book

Holdings
478

Distinct positions

Period
2026-09-30

Filed 2026-10-09

Q/Q Activity
+53 / −58 / ↑119 / ↓190

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
HTGC2.8% · +3%ARCC2.7% · +16%OBDC2.5% · +32%TSLX2.0% · -8%FDUS1.9% · +2909%GBDC1.9% · -12%AAPL1.5% · +1%SHYG1.4% · -25%HYEM1.3% · -26%FXED1.3% · -2%VICI1.3% · +76%OMC1.2% · +2%SEIX1.2% · newABBV1.2% · +2%EMHY1.2% · -29%GEF.B1.2% · +1%CSCO1.2% · +0%TTE1.1% · +2%PFG1.1% · -1%ACN1.1% · +3%PRGO1.0% · +4%BXSL1.0% · -48%PFE1.0% · +2%NVDA1.0% · -1%DIVY1.0% · -2%PINE0.9% · -4%CSWC0.9% · -6%AMCR0.9% · +2%NNN0.9% · +1%O0.9% · +1%SBRA0.9% · +8%AMT0.9% · +14%PGHY0.9% · newPFLT0.9% · -44%MSFT0.9% · +2%TRIN0.9% · -11%CFG0.9% · +1%MTB0.9% · -12%JPMB0.9% · newCRBG0.8% · +2%ENB0.8% · +3%GLPI0.8% · +10%T0.8% · +20%QYLD0.8% · -4%SLRC0.8% · +7441%IVV0.8% · +4%GTY0.8% · newC0.8% · -13%QGRW0.8% · +5%ES0.8% · +2%GARP0.8% · newGOOGL0.7% · -0%AMZN0.7% · +0%VLO0.7% · -16%GSK0.7% · +3%IBM0.7% · +7%BEN0.7% · +2%XSMO0.7% · +10%SMLF0.7% · newSON0.7% · +2%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 19.2%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Jan 23, 2026.

Assets Under Management
$4.18B
Discretionary
$3.92B
Employees
134
Accounts
24,756
Address
500 W CYPRESS CREEK ROAD
SUITE 290
FORT LAUDERDALE, FL 33309
Phone
(954) 487-1860
Website
This firm reports 6 disclosure items on its registration.
Name Title / Status Ownership Type
SCRANTON, DAVID, JOSEPH ControlMANAGING MEMBER
since Sep 2014
Less than 5%Individual
SOUND INCOME GROUP LLC ControlOWNER
since May 2019
75% or moreDomestic Entity
CHANDER, RANACHIEF OPERATING OFFICER
since Jan 2022
Less than 5%Individual
RADLAUER, CHARLES, BURTONCHIEF COMPLIANCE OFFICER
since Aug 2018
Less than 5%Individual
SCRANTON, DAVID, JOSEPH Control
Indirect owner via SOUND INCOME GROUP LLC
OWNER
since May 2019
75% or moreIndividual
Ownership & leadership changes · 8 filings with changes since Sep 26, 2014

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Jul 6, 2022 filing
  • No longer listedADVISORS' ACADEMY HOLDINGS LLC · OWNER · 75% or more · control person · listed since May 2019
  • No longer listedSCRANTON, DAVID, JOSEPH · OWNER · 75% or more · indirect via ADVISORS' ACADEMY HOLDINGS LLC · control person · listed since May 2019
  • AddedSCRANTON, DAVID, JOSEPH · OWNER · 75% or more · indirect via SOUND INCOME GROUP LLC · control person
  • AddedSOUND INCOME GROUP LLC · OWNER · 75% or more · control person
Feb 11, 2022 filing
  • No longer listedCOX, STEVEN, PETER · CHIEF OPERATING OFFICER · Less than 5% · listed since Oct 2019
  • AddedCHANDER, RANA · CHIEF OPERATING OFFICER · Less than 5%
Oct 6, 2021 filing
  • ChangedCOX, STEVEN, PETER · no longer a control person
Oct 18, 2019 filing
  • AddedADVISORS' ACADEMY HOLDINGS LLC · OWNER · 75% or more · control person
  • AddedSCRANTON, DAVID, JOSEPH · OWNER · 75% or more · indirect via ADVISORS' ACADEMY HOLDINGS LLC · control person
  • Listed againCOX, STEVEN, PETER · CHIEF OPERATING OFFICER · Less than 5% · control person
  • ChangedSCRANTON, DAVID, JOSEPH · ownership 75% or more → Less than 5%
Aug 17, 2018 filing
  • No longer listedKLEE, HUNTINGTON, KIMBERLEE · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Feb 2017
  • No longer listedTUMA, MICHAEL, CHARLES · CHIEF OPERATING OFFICER · Less than 5% · listed since Feb 2017
  • AddedRADLAUER, CHARLES, BURTON · CHIEF COMPLIANCE OFFICER · Less than 5%
Mar 16, 2017 filing
  • No longer listedAckerman, David, Thomas · CCO · Less than 5% · listed since Nov 2015
  • No longer listedCOX, STEVEN, PETER · CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Jan 2015
  • AddedKLEE, HUNTINGTON, KIMBERLEE · CHIEF COMPLIANCE OFFICER · Less than 5%
  • AddedTUMA, MICHAEL, CHARLES · CHIEF OPERATING OFFICER · Less than 5%
Nov 10, 2015 filing
  • AddedAckerman, David, Thomas · CCO · Less than 5%
  • ChangedSCRANTON, DAVID, JOSEPH · title CHIEF COMPLIANCE OFFICER/MANAGING MEMBER → MANAGING MEMBER
Feb 19, 2015 filing
  • AddedCOX, STEVEN, PETER · CHIEF OPERATING OFFICER · Less than 5% · control person
Sep 26, 2014 filing (earliest on record)
  • ListedSCRANTON, DAVID, JOSEPH · CHIEF COMPLIANCE OFFICER/MANAGING MEMBER · 75% or more · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Sound Income Strategies, LLC Holdings (2026-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 HERCULES CAPITAL INC HTGC 427096508 $62.5M 2.79% 3,777,695 SH
2 ARES CAPITAL CORP ARCC 04010L103 $59.9M 2.67% 3,195,050 SH
3 BLUE OWL CAPITAL CORPORATION OBDC 69121K104 $56.4M 2.52% 5,549,823 SH
4 SIXTH STREET SPECIALTY LENDI TSLX 83012A109 $43.9M 1.96% 2,500,571 SH
5 FIDUS INVT CORP FDUS 316500107 $41.9M 1.87% 2,193,829 SH
6 GOLUB CAP BDC INC GBDC 38173M102 $41.8M 1.86% 3,422,189 SH
7 APPLE INC AAPL 037833100 $32.9M 1.47% 96,557 SH
8 ISHARES TR SHYG 46434V407 $31.3M 1.40% 760,280 SH
9 VANECK ETF TRUST HYEM 92189F353 $29.7M 1.33% 1,534,436 SH
10 TIDAL TRUST I FXED 886364819 $29.2M 1.30% 1,760,737 SH
11 VICI PPTYS INC VICI 925652109 $29.2M 1.30% 1,280,017 SH
12 OMNICOM GROUP INC OMC 681919106 $27.9M 1.25% 365,161 SH
13 VIRTUS ETF TR II SEIX 92790A405 $27.6M 1.23% 1,191,584 SH
14 ABBVIE INC ABBV 00287Y109 $27.0M 1.20% 98,943 SH
15 ISHARES INC EMHY 464286285 $26.6M 1.19% 689,423 SH
16 GREIF INC GEF.B 397624206 $26.5M 1.18% 245,887 SH
17 CISCO SYS INC CSCO 17275R102 $26.0M 1.16% 226,031 SH
18 TOTALENERGIES SE TTE F92124100 $25.4M 1.13% 295,717 SH
19 PRINCIPAL FINANCIAL GROUP IN PFG 74251V102 $24.2M 1.08% 220,590 SH
20 ACCENTURE PLC IRELAND ACN G1151C101 $23.6M 1.05% 113,209 SH
21 PERRIGO CO PLC PRGO G97822103 $23.4M 1.04% 1,615,467 SH
22 BLACKSTONE SECD LENDING FD BXSL 09261X102 $22.9M 1.02% 949,195 SH
23 PFIZER INC PFE 717081103 $22.8M 1.02% 819,569 SH
24 NVIDIA CORPORATION NVDA 67066G104 $22.1M 0.98% 95,787 SH
25 TIDAL TRUST I DIVY 886364793 $21.8M 0.97% 738,831 SH
26 ALPINE INCOME PPTY TR INC PINE 02083X103 $21.2M 0.94% 1,184,498 SH
27 CAPITAL SOUTHWEST CORP CSWC 140501107 $20.8M 0.93% 876,046 SH
28 AMCOR PLC AMCR G0250X149 $20.5M 0.91% 489,527 SH
29 NNN REIT INC NNN 637417106 $20.0M 0.89% 496,322 SH
30 REALTY INCOME CORP O 756109104 $20.0M 0.89% 368,301 SH
31 SABRA HEALTH CARE REIT INC SBRA 78573L106 $19.8M 0.88% 1,051,751 SH
32 AMERICAN TOWER CORP AMT 03027X100 $19.8M 0.88% 118,811 SH
33 INVESCO EXCH TRADED FD TR II PGHY 46138E669 $19.7M 0.88% 1,039,260 SH
34 PENNANTPARK FLOATING RATE CA PFLT 70806A106 $19.6M 0.87% 2,930,953 SH
35 MICROSOFT CORP MSFT 594918104 $19.6M 0.87% 37,456 SH
36 TRINITY CAP INC TRIN 896442308 $19.4M 0.87% 1,131,116 SH
37 CITIZENS FINL GROUP INC CFG 174610105 $19.3M 0.86% 301,284 SH
38 M & T BK CORP MTB 55261F104 $19.2M 0.86% 88,303 SH
39 J P MORGAN EXCHANGE TRADED F JPMB 46641Q746 $19.1M 0.85% 503,522 SH
40 COREBRIDGE FINL INC CRBG 21871X109 $19.1M 0.85% 553,544 SH
41 ENBRIDGE INC ENB 29250N105 $19.0M 0.85% 408,721 SH
42 GAMING & LEISURE P GLPI 36467J108 $18.8M 0.84% 492,285 SH
43 AT&T INC T 00206R102 $18.8M 0.84% 754,818 SH
44 GLOBAL X FDS QYLD 37954Y483 $18.7M 0.84% 1,004,667 SH
45 SLR INVESTMENT CORP SLRC 83413U100 $18.7M 0.84% 1,629,154 SH
46 ISHARES TR IVV 464287200 $18.5M 0.82% 23,760 SH
47 GETTY RLTY CORP NEW GTY 374297109 $18.3M 0.82% 656,844 SH
48 CITIGROUP INC C 172967424 $18.0M 0.80% 140,683 SH
49 WISDOMTREE TR QGRW 97717Y477 $17.4M 0.78% 250,072 SH
50 EVERSOURCE ENERGY ES 30040W108 $17.1M 0.76% 259,791 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-10-09 $2.24B 478 0001085146-26-000864
2026-06-30 2026-07-20 $2.23B 483 0001730960-26-000001
2026-03-31 2026-04-27 $2.07B 2,596 0001104659-26-049113
2025-12-31 2026-01-21 $2.11B 2,516 0001104659-26-005260
Filer Information
Address
500 WEST CYPRESS CREEK ROAD
SUITE 290
FT LAUDERDALE, FL 33309
Phone
(954) 487-1860
Filing Manager
Sound Income Strategies, LLC
FT LAUDERDALE, FL
Signatory
Charles Radlauer
Chief Compliance Officer