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 Clo C-Moa, LLC
Latest filing Mar 31, 2026
First filing on the tape Feb 11, 2019 · 15 filings
SEC status approved since Feb 14, 2019
RAUM
$12B
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
40
36 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
24
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$12B as of Mar 31, 2026
Mar 30, 2020$934M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 30, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20200 then
Employees (5.A)40 as of Mar 31, 2026
Mar 30, 20201 then
Private funds24 as of Mar 31, 2026
Mar 30, 20202 then
RAUM +51% over the last fiscal year+48% 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
- $514MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +51%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 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$12B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 24reported
- 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
11 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Peter Kevin Gerlitz · Chief Financial Officercontrolsince 12/2017 · owns less than 5%
- Jerome Stephen Ketchum · Managing Partnercontrolsince 12/2017 · owns less than 5%
- Lynne Wendy Ruberti · General Counselcontrolsince 12/2017 · 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
Entity owners
- Sound Point Euro 2 Clo Management, LP · Memberdirect · owns 50% to 75%
- Sound Point Euro Clo Management, LP · Memberdirect · owns 50% to 75%
- 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
- Sound Point Capital Management, LP · Managing Memberindirect · owns 75% or more of Sound Point Clo Management, Gp LLC
- Sound Point Clo Management Gp, LLC · General Partnerindirect · owns F of Sound Point Euro 2 Clo Management, LP
- Sound Point Clo Management, Gp LLC · General Partnerindirect · owns F of Sound Point Euro Clo 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 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 advisern
- Sound Point Capital Management, LPinvestment adviserbankpooled vehicle sponsoryRAUM $37B
- Sound Point Clo Gp, LLCbankpooled vehicle sponsorn
- Sound Point Clo Management Gp, LLCbankpooled vehicle sponsorn
- Sound Point Clo Warehouse II Gp, LLCpooled vehicle sponsorn
- Sound Point Co-Invest Gp, LLCbankpooled vehicle sponsorn
- Sound Point Commercial Real Estate Finance LLCinvestment adviserpooled vehicle sponsornRAUM $2.7B
- 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, LLCbankpooled vehicle sponsorn
- Sound Point Harbor Fund Gp LLCbankpooled vehicle sponsorn
- Sound Point Luna Gp Holdings LLCpooled vehicle sponsorn
- Sound Point Luna LLCinvestment advisernRAUM $10B
- Sound Point Meridian Fund Gp LLCbankpooled vehicle sponsorn
- Sound Point Meridian Management Company, LLCinvestment advisern
- 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 Clo C-Moa, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom11 employees
- San Francisco, CA1 employees
- Greenwich, CT
What changed
consecutive filings, newest first
- Accounts · 19 to 24Aug 22, 2025 to Mar 31, 2026
- Advisory employees · 37 to 36Aug 22, 2025 to Mar 31, 2026
- Pooled vehicle clients · 19 to 24Aug 22, 2025 to Mar 31, 2026
- Employees · 41 to 40Aug 22, 2025 to Mar 31, 2026
- Private funds · 19 to 24Aug 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $8.2B to $12BAug 22, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $8.2B to $12BAug 22, 2025 to Mar 31, 2026
- RAUM · $8.2B to $12BAug 22, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 1, 2025
- Accounts · 10 to 19Aug 29, 2024 to Mar 31, 2025
- Advisory employees · 15 to 37Aug 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 10 to 19Aug 29, 2024 to Mar 31, 2025
- Employees · 24 to 41Aug 29, 2024 to Mar 31, 2025
- Private funds · 10 to 19Aug 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.5B to $8.2BAug 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.5B to $8.2BAug 29, 2024 to Mar 31, 2025
- RAUM · $4.5B to $8.2BAug 29, 2024 to Mar 31, 2025
- Accounts · 9 to 10Jul 29, 2023 to Mar 29, 2024
- Advisory employees · 11 to 15Jul 29, 2023 to Mar 29, 2024
- Pooled vehicle clients · 9 to 10Jul 29, 2023 to Mar 29, 2024
- Employees · 18 to 24Jul 29, 2023 to Mar 29, 2024
- Other offices · 1 to 3Jul 29, 2023 to Mar 29, 2024
- Private funds · 9 to 10Jul 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.8B to $4.5BJul 29, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $3.8B to $4.5BJul 29, 2023 to Mar 29, 2024
- RAUM · $3.8B to $4.5BJul 29, 2023 to Mar 29, 2024
- Advisory employees · 10 to 11Mar 31, 2023 to Jul 29, 2023
- Employees · 16 to 18Mar 31, 2023 to Jul 29, 2023
- Accounts · 7 to 9Aug 17, 2022 to Mar 31, 2023
- Advisory employees · 6 to 10Aug 17, 2022 to Mar 31, 2023
- Pooled vehicle clients · 7 to 9Aug 17, 2022 to Mar 31, 2023
- Employees · 10 to 16Aug 17, 2022 to Mar 31, 2023
- Private funds · 7 to 9Aug 17, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.4B to $3.8BAug 17, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.4B to $3.8BAug 17, 2022 to Mar 31, 2023
- RAUM · $3.4B to $3.8BAug 17, 2022 to Mar 31, 2023
- Accounts · 4 to 7Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 1 to 6Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 7Mar 31, 2021 to Mar 31, 2022
- Employees · 1 to 10Mar 31, 2021 to Mar 31, 2022
Signals
9 dated events
- Sound Point Clo C-Moa, Llc reported RAUM $12.3B, up 51% from $8.2B (2025-08-22 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Sound Point Clo C-Moa, Llc reported RAUM $8.2B, up 82% from $4.5B (2024-08-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Dawson James Carey (Member, Board Of Managers) no longer on Schedule A of Sound Point Clo C-Moa, Llc (listed 2022-08-17, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- J.S. Andrea Sayago (Chief Compliance Officer) appeared on Schedule A of Sound Point Clo C-Moa, LlcAug 17, 2022 · Control person joined · fact
- Yuliani Lily Wicker (Chief Compliance Officer) no longer on Schedule A of Sound Point Clo C-Moa, Llc (listed 2022-03-31, absent 2022-07-28)Jul 28, 2022 · Control person left · inference
- Sound Point Clo C-Moa, Llc reported RAUM $3.4B, up 71% from $2.0B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Sound Point Clo C-Moa, Llc reported RAUM $2.0B, up 116% from $933.9M (2020-07-09 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Yuliani Lily Wicker (Chief Compliance Officer) appeared on Schedule A of Sound Point Clo C-Moa, LlcJul 9, 2020 · Control person joined · fact
- Sound Point Clo C-Moa, Llc filed its initial SEC registration (Form ADV)Feb 11, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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