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 Commercial Real Estate Finance LLC
Latest filing Apr 30, 2026
First filing on the tape Feb 18, 2021 · 17 filings
SEC status approved since Mar 19, 2021
RAUM
$2.7B
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
25
19 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$2.7B as of Apr 30, 2026
Mar 31, 2022$2.1B then
HNW client RAUM$0 as of Apr 30, 2026
Mar 31, 2022$0 then
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Mar 31, 20220 then
Employees (5.A)25 as of Apr 30, 2026
Mar 31, 202221 then
Private funds1 as of Apr 30, 2026
Mar 31, 20251 then
RAUM +4.9% over the last fiscal year+3.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $340MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 63%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
- +4.9%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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
- Insurance companies$1.7B63%
- Pooled investment vehicles$525M19%
- Corporations and businesses$478M18%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.19 institutional_share=0.63 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Peter Kevin Gerlitz · Chief Financial Officercontrolsince 11/2020 · owns less than 5%
- Jerome Stephen Ketchum · Chief Executive Officercontrolsince 11/2020 · owns less than 5%
- Joseph Donald Mackinnon · Portfolio Managercontrolsince 11/2020 · owns less than 5%
- Lynne Wendy Ruberti · General Counselcontrolsince 11/2020 · owns less than 5%
- J.S. Andrea Sayago · Chief Compliance Officercontrolsince 08/2022 · owns less than 5%
- Zeller Sarah Seelaus · Chief Operating Officercontrolsince 11/2020 · 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
- Aflac Inc. · Memberindirect · owns 75% or more of Aflac Gi Holdings LLC · public reporting company
- 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
- Aflac Gi Holdings LLC · Memberdirect · owns 5% to 10%
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 Capital Management, LPinvestment adviserpooled vehicle sponsornRAUM $37B
- Sound Point Clo C-Moa, LLCinvestment adviserpooled vehicle sponsornRAUM $12B
- 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 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 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 Commercial Real Estate Finance LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Hermosa Beach, CA1 employees
- , 1 employees
- Greenwich, CT
- West Palm Beach, FL
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- large related person networkStatic outlier · filing Apr 30, 2026related persons on Schedule D 7.A of 41.0 against a peer median of 6.0 (85 comparable advisers, 100.0th percentile, 7.9 robust deviations)peers: other advisers, $1B to $5B (85) · 100% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $2.5B to $2.7BMar 31, 2026 to Apr 30, 2026
- Pooled vehicle RAUM · $252M to $525MMar 31, 2026 to Apr 30, 2026
- RAUM · $2.5B to $2.7BMar 31, 2026 to Apr 30, 2026
- Advisory employees · 17 to 19Aug 22, 2025 to Mar 31, 2026
- Employees · 23 to 25Aug 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.6B to $2.5BAug 22, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $235M to $252MAug 22, 2025 to Mar 31, 2026
- RAUM · $2.6B to $2.5BAug 22, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 1, 2025
- Accounts · 6 to 8Aug 29, 2024 to Mar 31, 2025
- Advisory employees · 15 to 17Aug 29, 2024 to Mar 31, 2025
- Corporate clients · 0 to 1Aug 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 0 to 2Aug 29, 2024 to Mar 31, 2025
- Assets in custody · unset to 0.0Aug 29, 2024 to Mar 31, 2025
- Custody of client assets · false to trueAug 29, 2024 to Mar 31, 2025
- Other offices · 4 to 3Aug 29, 2024 to Mar 31, 2025
- Private funds · unset to 1Aug 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.4B to $2.6BAug 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $0 to $235MAug 29, 2024 to Mar 31, 2025
- RAUM · $2.4B to $2.6BAug 29, 2024 to Mar 31, 2025
- Advisory employees · 18 to 15Jul 29, 2023 to Mar 29, 2024
- Employees · 25 to 23Jul 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.4B to $2.4BJul 29, 2023 to Mar 29, 2024
- RAUM · $2.4B to $2.4BJul 29, 2023 to Mar 29, 2024
- Accounts · 5 to 6Aug 17, 2022 to Mar 31, 2023
- Advisory employees · 16 to 18Aug 17, 2022 to Mar 31, 2023
- Employees · 21 to 25Aug 17, 2022 to Mar 31, 2023
- Other offices · 2 to 4Aug 17, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.1B to $2.4BAug 17, 2022 to Mar 31, 2023
- RAUM · $2.1B to $2.4BAug 17, 2022 to Mar 31, 2023
- Accounts · 0 to 5Sep 17, 2021 to Mar 31, 2022
- Advisory employees · 9 to 16Sep 17, 2021 to Mar 31, 2022
- Employees · 13 to 21Sep 17, 2021 to Mar 31, 2022
- Discretionary RAUM · $0 to $2.1BSep 17, 2021 to Mar 31, 2022
- RAUM · $0 to $2.1BSep 17, 2021 to Mar 31, 2022
- Other offices · 1 to 2Feb 18, 2021 to Apr 2, 2021
Signals
5 dated events
- Dawson James Carey (Member, Board Of Managers) no longer on Schedule A of Sound Point Commercial Real Estate Finance 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 Commercial Real Estate Finance LlcAug 17, 2022 · Control person joined · fact
- Yuliani Lily Wicker (Chief Compliance Officer And Associate General Counsel) no longer on Schedule A of Sound Point Commercial Real Estate Finance Llc (listed 2022-07-28, absent 2022-07-28)Jul 28, 2022 · Control person left · inference
- Brian Andrew Winer (Portfolio Manager) no longer on Schedule A of Sound Point Commercial Real Estate Finance Llc (listed 2021-09-17, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Sound Point Commercial Real Estate Finance Llc filed its initial SEC registration (Form ADV)Feb 18, 2021 · 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, Apr 30, 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
- Other adviserderiveda 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