9AT: SONATA CAPITAL GROUP INC

SONATA CAPITAL GROUP INC

SONATA CAPITAL GROUP INC

Adviser Profile

As of Date	03/25/2026
Registration	SEC, Approved, 04/21/2000
ADV Location	SEATTLE, WA, United States
Contact Info	206 xxxxxxx
Websites

AUM^*	360,685,424 21%
of that, discretionary	360,685,424 21%
Number of Employees	5
of those in investment advisory functions	5
Private Fund GAV^*	0
Avg Account Size	1,830,890 13%
% High Net Worth	60.41% 16%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Charitable organizations

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

361M 309M 258M 206M 155M 103M 52M

2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker464287614	Stock NameISHARES TR	$ Position$21,124,917	% Position7.00%	$ Change17.00%	# Change301.00%
Stck Ticker037833100	Stock NameAPPLE INC	$ Position$15,458,645	% Position5.00%	$ Change14.00%	# Change0.00%
Stck Ticker464287598	Stock NameISHARES TR	$ Position$16,385,162	% Position5.00%	$ Change15.00%	# Change1.00%
Stck Ticker464287499	Stock NameISHARES TR	$ Position$16,519,731	% Position5.00%	$ Change1.00%	# Change-11.00%
Stck Ticker464287309	Stock NameISHARES TR	$ Position$11,909,112	% Position4.00%	$ Change48.00%	# Change21.00%
Stck Ticker464287630	Stock NameISHARES TR	$ Position$13,377,853	% Position4.00%	$ Change16.00%	# Change-1.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$11,323,210	% Position4.00%	$ Change1.00%	# Change0.00%
Stck Ticker922908769	Stock NameVANGUARD INDEX FDS	$ Position$13,237,725	% Position4.00%	$ Change16.00%	# Change1.00%
Stck Ticker921946406	Stock NameVANGUARD WHITEHALL FDS	$ Position$11,482,710	% Position4.00%	$ Change12.00%	# Change5.00%
Stck Ticker023135106	Stock NameAMAZON COM INC	$ Position$8,955,388	% Position3.00%	$ Change18.00%	# Change3.00%

Brochure Summary

Overview

Sonata Capital Group, Inc. (the "Firm" or "Sonata"), an SEC-registered, non-publicly held firm, founded in 2000, owned in equal parts by Timothy R Cummins and David F Hill, provides investment advisory services on a discretionary basis. Clients receive professional management of assets in accordance with their guidelines. Client guidelines are established at the onset of the client/advisor relationship and are monitored on an on-going basis as clients’ goals and risk factors may change over time. The guidelines derive from the Prudent Person Rule which is intended to protect investors, using the services of an investment advisor, from investments that are not appropriate for their risk tolerance and account objectives. Sonata is mindful of clients who wish to avoid

certain assets or types of assets in the management of their accounts. Sonata offers clients as part of our investment process certain general guidance commonly considered financial planning. This guidance encompasses an evaluation of a client’s current and future financial state by using currently known variables to outlay possible future cash flows, asset values, and withdrawal plans. The information is used in assisting clients achieve their financial goals and objectives. Sonata works with clients’ estate planning attorneys and tax professionals. Assets Under Management as of December 31, 2023, computed using Sonata’s portfolio accounting system which prices all portfolio assets daily, was $299.3 mil in client assets of which all were discretionary.