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 Capital Management, LP
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 51 filings
SEC status approved since Jul 12, 2011
RAUM
$37B
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
200
85 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
52
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$37B as of Mar 31, 2026
Mar 29, 2012$178M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)200 as of Mar 31, 2026
Mar 28, 201311 then
Private funds52 as of Mar 31, 2026
Mar 29, 20122 then
RAUM +7.3% over the last fiscal year+20% 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
- $228MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%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, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$35B97%
- Insurance companies$947M2.6%
- Corporations and businesses$290M0.8%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 162reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.97 institutional_share=0.03 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
67 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Sound Point Clo Xxi, Ltd. | Securitized Asset Fund | $4.8B | 0 | Mar 29, 2019 |
| Sound Point Clo Xx, Ltd | Securitized Asset Fund | $729M | 0 | Mar 29, 2019 |
| Sound Point Clo Xviii, Ltd | Securitized Asset Fund | $658M | 0 | Mar 29, 2018 |
| Sound Point Clo Xvii, Ltd | Securitized Asset Fund | $622M | 0 | Mar 29, 2018 |
| Sound Point Clo Vi-R, Ltd | Securitized Asset Fund | $567M | 0 | Mar 30, 2015 |
| Sound Point Clo Xxiii, Ltd | Securitized Asset Fund | $566M | 0 | Mar 30, 2020 |
| Sound Point Clo V-R, Ltd | Securitized Asset Fund | $553M | 0 | Mar 30, 2015 |
| Sound Point Clo IV-R, Ltd | Securitized Asset Fund | $533M | 0 | Jan 31, 2014 |
| Sound Point Clo Xxxi, Ltd | Securitized Asset Fund | $522M | 0 | Mar 31, 2022 |
| Sound Point Strategic Capital Master Fund II Dac | Hedge Fund | $517M | 145 | May 27, 2022 |
| Sound Point Clo Xvi, Ltd | Securitized Asset Fund | $508M | 0 | Mar 29, 2018 |
| Sound Point Harbor Master Fund, LP | Hedge Fund | $507M | 89 | Nov 22, 2019 |
| Sound Point Clo Xxxii, Ltd | Securitized Asset Fund | $497M | 0 | Mar 31, 2022 |
| Sound Point Clo Xxviii, Ltd | Securitized Asset Fund | $493M | 0 | Mar 31, 2021 |
| Sound Point Clo Xxii, Ltd | Securitized Asset Fund | $486M | 0 | Mar 30, 2020 |
| Sound Point Clo Xxix, Ltd | Securitized Asset Fund | $485M | 0 | Mar 31, 2022 |
| Sound Point Clo Vii-R, Ltd | Securitized Asset Fund | $483M | 0 | Mar 30, 2015 |
| Sound Point Clo Xxvii, Ltd | Securitized Asset Fund | $480M | 0 | Mar 31, 2021 |
| Sound Point Clo Xxvi, Ltd | Securitized Asset Fund | $479M | 0 | Mar 31, 2021 |
| Sound Point Clo Xi, Ltdno longer reported | Securitized Asset Fund | $477M | 0 | Mar 31, 2017 |
| Sound Point Clo Xxxiii, Ltd | Securitized Asset Fund | $476M | 0 | Mar 31, 2023 |
| Sound Point Clo Xxiv, Ltd | Securitized Asset Fund | $471M | 0 | Mar 30, 2020 |
| Sound Point Clo II, Ltd. | Securitized Asset Fund | $460M | 0 | Mar 28, 2013 |
| Sound Point Clo Ix, Ltd | Securitized Asset Fund | $457M | 0 | Mar 30, 2016 |
| Sound Point Clo Xix, Ltd | Securitized Asset Fund | $434M | 0 | Mar 29, 2019 |
| Sound Point U.S. Direct Lending Fund II (Master) LP | Hedge Fund | $431M | 17 | Aug 19, 2021 |
| Sound Point Clo Xxv, Ltd | Securitized Asset Fund | $425M | 0 | Mar 31, 2021 |
| Sound Point Clo Xxx, Ltd | Securitized Asset Fund | $389M | 0 | Mar 31, 2022 |
| Sound Point Strategic Capital Fund, LPno longer reported | Hedge Fund | $347M | 10 | Aug 29, 2018 |
| Sound Point Clo Viii-R, Ltd. | Securitized Asset Fund | $341M | 0 | Mar 30, 2016 |
| Sound Point Tactical Loan Opportunity Master Fund I Dac | Hedge Fund | $325M | 74 | May 13, 2020 |
| Sound Point Meridian Master Fund LP | Hedge Fund | $303M | 6 | Nov 27, 2023 |
| Sp Technology Payments I, LLC | Hedge Fund | $270M | 3 | Feb 28, 2022 |
| Sound Point Clo I, Ltd.no longer reported | Securitized Asset Fund | $263M | 0 | Mar 28, 2013 |
| Sound Point Discovery Fund LLC | Hedge Fund | $258M | 191 | May 13, 2020 |
| Sp Technology Payments II, LLC | Hedge Fund | $252M | 6 | Mar 31, 2023 |
| Sound Point Clo Xv, Ltd | Securitized Asset Fund | $249M | 0 | Mar 29, 2018 |
| Sound Point Clo X, Ltdno longer reported | Securitized Asset Fund | $246M | 0 | Mar 30, 2016 |
| Sound Point Strategic Capital Master Fund Dac | Hedge Fund | $242M | 30 | Feb 25, 2020 |
| Sound Point Clo Warehouse Fund II (US) L.P. | Private Equity Fund | $237M | 1 | Mar 29, 2021 |
Owners and control persons
Schedule A and B, latest filing
- Dawson James Carey · Member, Board Of Managerscontrolsince 11/2009 · owns less than 5%
- Peter Kevin Gerlitz · Chief Financial Officercontrolsince 04/2010 · owns less than 5%
- Jerome Stephen Ketchum · Managing Partnercontrolsince 09/2009 · owns less than 5%
- Lane Thomas Newberry · Chief Credit Officercontrolsince 07/2021 · owns less than 5%
- Lynne Wendy Ruberti · General Counselcontrolsince 02/2017 · owns less than 5%
- J.S. Andrea Sayago · Chief Compliance Officercontrolsince 08/2022 · owns less than 5%
- Zeller Sarah Seelaus · Chief Operating Officercontrolsince 09/2018 · owns less than 5%
- Jerome Stephen Ketchum · Membercontrolsince 12/2020 · owns 75% or more of Spc Consolidator LLC
- Arthur Charles Davis · Limited Partnersince 10/2014 · owns 5% to 10%
- Nmn Stephen Friedman · Limited Partnersince 10/2014 · owns 5% to 10%
- Jay David Wermuth · Limited Partnersince 10/2014 · owns less than 5%
- David Nicolas Zerbib · Limited Partnersince 10/2014 · owns less than 5%
Entity owners
- Assured Guaranty US Holdings Inc. · Limited Partnerdirect · owns 25% to 50%
- Spc Consolidator LLC · Limited Partnerdirect · owns 25% to 50%
- Spc Partners Gp, LLC · General Partnerdirect · owns less than 5%
- Assured Guaranty Ltd. · Shareholderindirect · owns 75% or more of Assured Guaranty US Holdings Inc. · public reporting company
- Blue Owl Capital Carry LP · Memberindirect · owns 75% or more of Blue Owl Gp Stakes Gp Holdings LLC
- Blue Owl Capital Gp Holdings LLC · Managing Memberindirect · owns 75% or more of Blue Owl Capital Gp LLC
- Blue Owl Capital Gp LLC · General Partnerindirect · owns F of Blue Owl Capital Carry LP
- Blue Owl Capital Inc. · Managing Memberindirect · owns 75% or more of Blue Owl Capital Gp Holdings LLC · public reporting company
- Blue Owl Gp Stakes Gp Holdings LLC · Managing Memberindirect · owns F of Blue Owl Gp Stakes II Gp LLC
- Blue Owl Gp Stakes II Gp LLC · General Partnerindirect · owns F of Blue Owl Gp Stakes II Offshore Investors LP
- Blue Owl Gp Stakes II Gp LLC · General Partnerindirect · owns F of Blue Owl Gp Stakes II (A) LP
- Blue Owl Gp Stakes II Gp LLC · General Partnerindirect · owns F of Blue Owl Gp Stakes II US Investors LP
- Blue Owl Gp Stakes II Gp LLC · Managing Memberindirect · owns F of Dyal U.S. II LLC
- Blue Owl Gp Stakes II Offshore Investors LP · Memberindirect · owns 75% or more of Dyal U.S. II LLC
- Blue Owl Gp Stakes II US Investors LP · Limited Partnerindirect · owns 25% to 50% of Blue Owl Gp Stakes II (A) LP
- Dyal U.S. II LLC · Limited Partnerindirect · owns 50% to 75% of Blue Owl Gp Stakes II (A) LP
- Nbsh Acquisition LLC · Managing Memberindirect · owns F of Nbsh Blue Investments, LLC
- Nbsh Blue Investments, LLC · Limited Partnerindirect · owns 25% to 50% of Blue Owl Capital Carry LP
- Blue Owl Gp Stakes II (A) LP · Limited Partner Of Sound Point Capital Management LPdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Bluemountain Montenvers Gp Sarlpooled 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 advisery
- Sound Point Clo C-Moa, LLCinvestment adviserpooled vehicle sponsoryRAUM $12B
- Sound Point Clo Gp, LLCbankpooled vehicle sponsorn
- Sound Point Clo Management Gp, LLCbankpooled vehicle sponsory
- Sound Point Clo Warehouse II Gp, LLCpooled vehicle sponsorn
- Sound Point Co-Invest Gp, LLCbankpooled vehicle sponsorn
- Sound Point Commercial Real Estate Finance LLCinvestment adviseryRAUM $2.7B
- Sound Point Consumer Credit Payments I Gp, LLCbankpooled vehicle sponsorn
- Sound Point Cre Management, LPinvestment advisery
- Sound Point Credit Opportunities Gp, LLCbankpooled vehicle sponsorn
- Sound Point Discovery Manager, LLCbankpooled vehicle sponsory
- 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 Luna LLCinvestment adviserbankyRAUM $10B
- Sound Point Meridian Fund Gp LLCbankpooled vehicle sponsorn
- Sound Point Meridian Management Company, LLCinvestment advisery
- Sound Point Senior Gp II, LLCpooled vehicle sponsory
- Sound Point Senior Gp, LLCbankpooled vehicle sponsorn
- Sound Point Strategic Capital Gp II, LLCbankpooled vehicle sponsory
- Sound Point Strategic Capital Gp, LLCbankpooled vehicle sponsory
- 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 Capital Management, LP as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom11 employees
- Greenwich, CT4 employees
- San Francisco, CA1 employees
- , 1 employees
- West Palm Beach, FL
What changed
consecutive filings, newest first
- Accounts · 159 to 162Feb 26, 2026 to Mar 31, 2026
- Advisory employees · 71 to 85Feb 26, 2026 to Mar 31, 2026
- Corporate clients · 7 to 4Feb 26, 2026 to Mar 31, 2026
- Pooled vehicle clients · 138 to 142Feb 26, 2026 to Mar 31, 2026
- Employees · 182 to 200Feb 26, 2026 to Mar 31, 2026
- Private funds · 55 to 52Feb 26, 2026 to Mar 31, 2026
- Discretionary RAUM · $34B to $37BFeb 26, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $4 to $5Feb 26, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $33B to $35BFeb 26, 2026 to Mar 31, 2026
- RAUM · $34B to $37BFeb 26, 2026 to Mar 31, 2026
- Private funds · 54 to 55Nov 26, 2025 to Feb 26, 2026
- Private funds · 53 to 54Aug 22, 2025 to Nov 26, 2025
- Financial planning clients · unset to Mar 31, 2025 to Jul 1, 2025
- Accounts · 150 to 159Feb 27, 2025 to Mar 31, 2025
- Advisory employees · 76 to 71Feb 27, 2025 to Mar 31, 2025
- Pooled vehicle clients · 136 to 138Feb 27, 2025 to Mar 31, 2025
- Employees · 185 to 182Feb 27, 2025 to Mar 31, 2025
- Private funds · 59 to 53Feb 27, 2025 to Mar 31, 2025
- Discretionary RAUM · $38B to $34BFeb 27, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $38B to $33BFeb 27, 2025 to Mar 31, 2025
- RAUM · $38B to $34BFeb 27, 2025 to Mar 31, 2025
- Private funds · 58 to 59Aug 29, 2024 to Feb 27, 2025
- Private funds · 57 to 58Mar 29, 2024 to Aug 29, 2024
- Accounts · 148 to 150Nov 27, 2023 to Mar 29, 2024
- Advisory employees · 68 to 76Nov 27, 2023 to Mar 29, 2024
- Corporate clients · 5 to 7Nov 27, 2023 to Mar 29, 2024
- Pooled vehicle clients · 134 to 136Nov 27, 2023 to Mar 29, 2024
- Employees · 175 to 185Nov 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $32B to $38BNov 27, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $1.1B to $4Nov 27, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $31B to $38BNov 27, 2023 to Mar 29, 2024
- RAUM · $33B to $38BNov 27, 2023 to Mar 29, 2024
- Private funds · 56 to 57Jul 29, 2023 to Nov 27, 2023
- Accounts · 116 to 148Mar 31, 2023 to Jul 29, 2023
- Advisory employees · 46 to 68Mar 31, 2023 to Jul 29, 2023
- BD registered reps · 4 to 0Mar 31, 2023 to Jul 29, 2023
- Pooled vehicle clients · 102 to 134Mar 31, 2023 to Jul 29, 2023
- Employees · 141 to 175Mar 31, 2023 to Jul 29, 2023
- Other offices · 4 to 5Mar 31, 2023 to Jul 29, 2023
- Private funds · 55 to 56Mar 31, 2023 to Jul 29, 2023
Signals
8 dated events
- Sound Point Capital Management, Lp reported RAUM $33.1B, up 53% from $21.6B (2023-03-31 to 2023-07-29)Jul 29, 2023 · RAUM change · derived
- J.S. Andrea Sayago (Chief Compliance Officer) appeared on Schedule A of Sound Point Capital Management, LpAug 17, 2022 · Control person joined · fact
- Yuliani Lily Wicker (Chief Compliance Officer) no longer on Schedule A of Sound Point Capital Management, Lp (listed 2022-07-28, absent 2022-07-28)Jul 28, 2022 · Control person left · inference
- Sound Point Capital Management, Lp reported RAUM $25.8B, up 41% from $18.3B (2022-03-01 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Lane Thomas Newberry (Chief Credit Officer) appeared on Schedule A of Sound Point Capital Management, LpAug 19, 2021 · Control person joined · fact
- Yuliani Lily Wicker (Chief Compliance Officer) appeared on Schedule A of Sound Point Capital Management, LpJul 9, 2020 · Control person joined · fact
- Zeller Sarah Seelaus (Chief Operating Officer) appeared on Schedule A of Sound Point Capital Management, LpMar 29, 2019 · Control person joined · fact
- Sound Point Capital Management, Lp reported RAUM $15.6B, up 39% from $11.3B (2017-04-19 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Sound Point Capital Management, LP · 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
- soundpointmeridiancap.com/overview/default.aspxreportedpublic 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