DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Sound Point Luna LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 66 filings
SEC status approved since Sep 5, 2003
RAUM
$10B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
39
35 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
24
reported on Schedule D
History
66 filings and snapshots on the tape
RAUM$10B as of Mar 31, 2026
Mar 30, 2012$11B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)39 as of Mar 31, 2026
Mar 28, 2013156 then
Private funds24 as of Mar 31, 2026
Mar 30, 201222 then
RAUM -10% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $353MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$10B100%
- Other investment advisers$26.0M0.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 29reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
68 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Bluemountain Alpine S.A R.L.no longer reported | Hedge Fund | $780M | 3 | May 24, 2013 |
| Bluemountain Clo 2018-3 Ltd. | Securitized Asset Fund | $576M | 1 | Feb 15, 2019 |
| Bluemountain Clo Xxxv Ltd. | Securitized Asset Fund | $537M | 2 | Mar 30, 2023 |
| Bluemountain Clo 2014-2 Ltd. | Securitized Asset Fund | $520M | 1 | Oct 22, 2014 |
| Bluemountain Clo Xxiii Ltd. | Securitized Asset Fund | $493M | 1 | Feb 15, 2019 |
| Bluemountain Clo Xxxiv Ltd | Securitized Asset Fund | $486M | 2 | Mar 30, 2023 |
| Bluemountain Clo Xxxii Ltd. | Securitized Asset Fund | $485M | 2 | Feb 28, 2022 |
| Bluemountain Clo Xxix Ltd. | Securitized Asset Fund | $485M | 2 | Feb 25, 2021 |
| Bluemountain Clo Xxviii Ltd. | Securitized Asset Fund | $485M | 2 | Feb 28, 2022 |
| Bluemountain Clo Xxvi Ltd. | Securitized Asset Fund | $485M | 2 | Feb 28, 2020 |
| Bluemountain Clo Xxiv Ltd. | Securitized Asset Fund | $480M | 1 | Feb 28, 2020 |
| Bluemountain Clo Xxv Ltd. | Securitized Asset Fund | $479M | 1 | Feb 28, 2020 |
| Bluemountain Clo 2016-2 Ltd. | Securitized Asset Fund | $473M | 1 | Nov 15, 2016 |
| Bluemountain Clo 2018-2 Ltd. | Securitized Asset Fund | $458M | 1 | Feb 15, 2019 |
| Bluemountain Clo 2016-3 Ltd. | Securitized Asset Fund | $457M | 1 | Mar 1, 2017 |
| Bluemountain Clo 2015-4 Ltd. | Securitized Asset Fund | $434M | 1 | Mar 30, 2016 |
| Bluemountain Clo 2018-1 Ltd. | Securitized Asset Fund | $421M | 1 | Feb 15, 2019 |
| Bluemountain Clo 2015-3 Ltd. | Securitized Asset Fund | $393M | 1 | Nov 25, 2015 |
| Bluemountain Clo Xxxiii Ltd. | Securitized Asset Fund | $389M | 2 | Feb 28, 2022 |
| Bluemountain Clo Xxx Ltd. | Securitized Asset Fund | $389M | 2 | Feb 25, 2021 |
| Bluemountain Clo Xxxi Ltd. | Securitized Asset Fund | $387M | 1 | Feb 28, 2022 |
| Bluemountain Eur 2021-1 Clo Dac | Securitized Asset Fund | $376M | 3 | Feb 28, 2022 |
| Bluemountain Clo Xxii Ltd. | Securitized Asset Fund | $374M | 1 | Feb 15, 2019 |
| Bluemountain Eur 2021-2 Clo Dac | Securitized Asset Fund | $374M | 3 | Feb 28, 2022 |
| Sound Point Gls Fund Pv L.P. | Private Equity Fund | $356M | 14 | Nov 24, 2021 |
| Bluehorizon Fund I (Offshore) Repackaging Ltd.no longer reported | Hedge Fund | $124M | 6 | Mar 30, 2012 |
| Bluehorizon Fund II, LLCno longer reported | Hedge Fund | $108M | 46 | Mar 30, 2012 |
| Sound Point Gls Fund L.P. | Private Equity Fund | $89.6M | 14 | Nov 24, 2021 |
| Bluemountain Credit Opportunities Master Fund I L.P.no longer reported | Hedge Fund | $72.3M | 68 | Feb 22, 2013 |
| Blue Mountain Credit Alternatives Master Fund L.P.no longer reported | Hedge Fund | $64.2M | 905 | Mar 30, 2012 |
| Bluemountain Long/Short Credit And Distressed Reflection Fund P.L.C.no longer reported | Hedge Fund | $63.7M | 8 | Aug 22, 2012 |
| Sound Point Asset Backed Income Fund (US) L.P. | Private Equity Fund | $57.6M | 2 | Feb 28, 2020 |
| Bluehorizon Fund I (Onshore) Repackaging Ltd.no longer reported | Hedge Fund | $46.6M | 14 | Mar 30, 2012 |
| Bluemountain Systematic Master Fund L.P.no longer reported | Hedge Fund | $40.7M | 20 | Nov 15, 2016 |
| Bluemountain Summit Opportunities Fund II (Cayman) L.P.no longer reported | Hedge Fund | $34.0M | 69 | Feb 27, 2015 |
| Bluehorizon Fund II Ltd.no longer reported | Hedge Fund | $29.9M | 15 | Mar 30, 2012 |
| Bluemountain Montenvers Master Fund Sca Sicav-Sif | Hedge Fund | $22.1M | 20 | May 24, 2013 |
| Bluemountain Kicking Horse Fund L.P.no longer reported | Hedge Fund | $21.0M | 2 | Aug 22, 2012 |
| Bluemountain Foinaven Master Fund L.P.no longer reported | Hedge Fund | $18.7M | 4 | Aug 3, 2015 |
| Bluemountain Timberline Ltd.no longer reported | Hedge Fund | $17.4M | 22 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Peter Kevin Gerlitz · Chief Financial Officercontrolsince 07/2023 · owns less than 5%
- Jerome Stephen Ketchum · Chief Executive Officercontrolsince 07/2023 · owns less than 5%
- Lynne Wendy Ruberti · General Counselcontrolsince 07/2023 · owns less than 5%
- J.S. Andrea Sayago · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- Zeller Sarah Seelaus · Chief Operating Officercontrolsince 07/2023 · owns less than 5%
- Jerome Stephen Ketchum · Membercontrolsince 12/2020 · owns 75% or more of Spc Consolidator LLC
Entity owners
- Sound Point Capital Management, LP · Memberdirect · owns 75% or more
- Assured Guaranty Ltd. · Shareholderindirect · owns 75% or more of Assured Guaranty US Holdings Inc. · public reporting company
- Assured Guaranty US Holdings Inc. · Limited Partnerindirect · owns 25% to 50% of Sound Point Capital Management, LP
- Spc Consolidator LLC · Limited Partnerindirect · owns 25% to 50% of Sound Point Capital Management, LP
- Spc Partners Gp, LLC · General Partnerindirect · owns F of Sound Point Capital Management, LP
Related persons
Schedule D 7.A
- Bluemountain Montenvers Gp S.A R.L.pooled vehicle sponsorn
- Bluemountain Montenvers Gp, LLCpooled vehicle sponsorn
- Bluemountain Montenvers Holdings, LLCpooled vehicle sponsorn
- Sound Point Asset Backed Gp, LLCpooled vehicle sponsorn
- Sound Point Beacon Gp, LLCbankpooled vehicle sponsorn
- Sound Point Capital Management Uk, Llpinvestment advisern
- Sound Point Capital Management, LPinvestment adviserbankpooled vehicle sponsory
- Sound Point Clo C-Moa, LLCinvestment advisern
- Sound Point Clo Gp, LLCbankpooled vehicle sponsorn
- Sound Point Clo Management Gp, LLCbankpooled vehicle sponsory
- Sound Point Clo Warehouse II Gp, LLCbankpooled vehicle sponsorn
- Sound Point Co-Invest Gp, LLCbankpooled vehicle sponsorn
- Sound Point Commercial Real Estate Finance LLCinvestment advisern
- Sound Point Consumer Credit Payments I Gp, LLCbankpooled vehicle sponsorn
- Sound Point Cre Management, LPinvestment advisern
- Sound Point Credit Opportunities Gp, LLCbankpooled vehicle sponsorn
- Sound Point Discovery Manager, LLCbankpooled vehicle sponsorn
- Sound Point Employee Investment (US Dl II Non-US Rn) Limitedbankpooled vehicle sponsorn
- Sound Point Gls Gp LLCpooled vehicle sponsorn
- Sound Point Gp Parent, LLCpooled vehicle sponsorn
- Sound Point Harbor Fund Gp LLCbankpooled vehicle sponsorn
- Sound Point Luna Gp Holdings LLCpooled vehicle sponsorn
- Sound Point Meridian Fund Gp LLCbankpooled vehicle sponsorn
- Sound Point Meridian Management Company LLCinvestment advisernRAUM $478M
- Sound Point Senior Gp II, LLCpooled vehicle sponsorn
- Sound Point Senior Gp, LLCbankpooled vehicle sponsorn
- Sound Point Strategic Capital Gp II, LLCbankpooled vehicle sponsorn
- Sound Point Strategic Capital Gp, LLCbankpooled vehicle sponsorn
- Sound Point Tactical Loan Opportunity Gp LLCbankpooled vehicle sponsorn
- Sound Point U.S. Direct Lending II (Gp) Ltd.bankpooled vehicle sponsorn
Advisers that list Sound Point Luna LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT4 employees
- San Francisco, CA1 employees
- London, United Kingdom
- West Palm Beach, FL
What changed
consecutive filings, newest first
- Accounts · 34 to 29Aug 22, 2025 to Mar 31, 2026
- Advisory employees · 40 to 35Aug 22, 2025 to Mar 31, 2026
- Pooled vehicle clients · 33 to 28Aug 22, 2025 to Mar 31, 2026
- Employees · 44 to 39Aug 22, 2025 to Mar 31, 2026
- Private funds · 25 to 24Aug 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $11B to $10BAug 22, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $13.2M to $26.0MAug 22, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $11B to $10BAug 22, 2025 to Mar 31, 2026
- RAUM · $11B to $10BAug 22, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 1, 2025
- Accounts · 37 to 34Aug 29, 2024 to Mar 31, 2025
- Advisory employees · 9 to 40Aug 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 37 to 33Aug 29, 2024 to Mar 31, 2025
- Employees · 13 to 44Aug 29, 2024 to Mar 31, 2025
- Private funds · 27 to 25Aug 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $11B to $11BAug 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $2.9B to $13.2MAug 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $14B to $11BAug 29, 2024 to Mar 31, 2025
- RAUM · $14B to $11BAug 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $11B to $11BMar 29, 2024 to May 22, 2024
- Pooled vehicle RAUM · $14B to $14BMar 29, 2024 to May 22, 2024
- RAUM · $14B to $14BMar 29, 2024 to May 22, 2024
- Accounts · 43 to 37Jul 28, 2023 to Mar 29, 2024
- Advisory employees · 8 to 9Jul 28, 2023 to Mar 29, 2024
- Business name · ASSURED INVESTMENT MANAGEMENT LLC to SOUND POINT LUNA LLCJul 28, 2023 to Mar 29, 2024
- Pooled vehicle clients · 43 to 37Jul 28, 2023 to Mar 29, 2024
- Employees · 12 to 13Jul 28, 2023 to Mar 29, 2024
- Legal name · ASSURED INVESTMENT MANAGEMENT LLC to SOUND POINT LUNA LLCJul 28, 2023 to Mar 29, 2024
- Private funds · 32 to 27Jul 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $11B to $11BJul 28, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $3.7B to $2.9BJul 28, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $15B to $14BJul 28, 2023 to Mar 29, 2024
- RAUM · $15B to $14BJul 28, 2023 to Mar 29, 2024
- Accounts · 68 to 43Mar 30, 2023 to Jul 28, 2023
- Advisory employees · 40 to 8Mar 30, 2023 to Jul 28, 2023
- Pooled vehicle clients · 58 to 43Mar 30, 2023 to Jul 28, 2023
- Employees · 100 to 12Mar 30, 2023 to Jul 28, 2023
- Other offices · 0 to 4Mar 30, 2023 to Jul 28, 2023
- Private funds · 45 to 32Mar 30, 2023 to Jul 28, 2023
- Discretionary RAUM · $13B to $11BMar 30, 2023 to Jul 28, 2023
Signals
26 dated events
- Jerome Stephen Ketchum (Chief Executive Officer) appeared on Schedule A of Sound Point Luna LlcJul 28, 2023 · Control person joined · fact
- Peter Kevin Gerlitz (Chief Financial Officer) appeared on Schedule A of Sound Point Luna LlcJul 28, 2023 · Control person joined · fact
- Lynne Wendy Ruberti (General Counsel) appeared on Schedule A of Sound Point Luna LlcJul 28, 2023 · Control person joined · fact
- Zeller Sarah Seelaus (Chief Operating Officer) appeared on Schedule A of Sound Point Luna LlcJul 28, 2023 · Control person joined · fact
- J.S. Andrea Sayago (Chief Compliance Officer) appeared on Schedule A of Sound Point Luna LlcJul 28, 2023 · Control person joined · fact
- Allan David Buzen (Chief Executive Officer; Chief Investment Officer) no longer on Schedule A of Sound Point Luna Llc (listed 2023-03-30, absent 2023-07-28)Jul 28, 2023 · Control person left · inference
- Dave Ray (General Counsel & Chief Compliance Officer) no longer on Schedule A of Sound Point Luna Llc (listed 2023-03-30, absent 2023-07-28)Jul 28, 2023 · Control person left · inference
- Kittredge Adele Murray (Chief Compliance Officer) no longer on Schedule A of Sound Point Luna Llc (listed 2022-08-29, absent 2022-10-28)Oct 28, 2022 · Control person left · inference
- Sound Point Luna Llc reported RAUM $18.3B, up 34% from $13.7B (2022-02-28 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Kittredge Adele Murray (Chief Compliance Officer) appeared on Schedule A of Sound Point Luna LlcNov 24, 2021 · Control person joined · fact
- Lynn Dawn Jasiak (General Counsel) no longer on Schedule A of Sound Point Luna Llc (listed 2021-03-29, absent 2021-11-24)Nov 24, 2021 · Control person left · inference
- Dave Ray (Chief Compliance Officer) appeared on Schedule A of Sound Point Luna LlcMar 29, 2021 · Control person joined · fact
- Milo Eric Albert (Chief Compliance Officer) no longer on Schedule A of Sound Point Luna Llc (listed 2021-02-25, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- Elaine Dava Ritchea (Chief Financial Officer) no longer on Schedule A of Sound Point Luna Llc (listed 2021-02-25, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- Todd Andrew Feldstein (Chief Executive Officer; Chief Investment Officer) no longer on Schedule A of Sound Point Luna Llc (listed 2020-08-06, absent 2020-08-24)Aug 24, 2020 · Control person left · inference
- Allan David Buzen (Chief Executive Officer; Chief Investment Officer) appeared on Schedule A of Sound Point Luna LlcAug 24, 2020 · Control person joined · fact
- Lynn Dawn Jasiak (General Counsel) appeared on Schedule A of Sound Point Luna LlcMar 26, 2020 · Control person joined · fact
- Alexander Paul Friedman (General Counsel; Chief Administrative Officer & Secretary) no longer on Schedule A of Sound Point Luna Llc (listed 2020-02-28, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Miles Stephen Siderow (Co-President) no longer on Schedule A of Sound Point Luna Llc (listed 2020-02-28, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Michael Liberman (Chief Operating Officer; Co-President) no longer on Schedule A of Sound Point Luna Llc (listed 2020-02-28, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Sound Point Luna Llc reported RAUM $16.0B, down 47% from $30.4B (2019-03-27 to 2019-10-31)Oct 31, 2019 · RAUM change · derived
- Sound Point Luna Llc reported RAUM $30.4B, up 75% from $17.4B (2019-02-15 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- Stephen Derek Smith (Senior Adviser) no longer on Schedule A of Sound Point Luna Llc (listed 2019-02-15, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- Sun Joanna Alpert (Member) no longer on Schedule A of Sound Point Luna Llc (listed 2018-03-26, absent 2019-01-08)Jan 8, 2019 · Control person left · inference
- Mitchell David Alpert (Member) no longer on Schedule A of Sound Point Luna Llc (listed 2018-03-26, absent 2019-01-08)Jan 8, 2019 · Control person left · inference
- Marie Nicole Anderson (Member) no longer on Schedule A of Sound Point Luna Llc (listed 2018-03-26, absent 2019-01-08)Jan 8, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Sound Point Luna LLC · Independent Sponsorsshared crd · capital_provider
- Sound Point Luna LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/SOUND-POINT-CAPITAL-MANAGEMENT-LPreportedpublic record, Form ADV, Sep 17, 2026
- Website
- soundpointcap.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-895-2280reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026