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 Meridian Management Company LLC
Latest filing Mar 31, 2026
First filing on the tape Feb 16, 2024 · 6 filings
SEC status approved since Mar 18, 2024
RAUM
$478M
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$478M as of Mar 31, 2026
Mar 31, 2025$553M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20250 then
Employees (5.A)9 as of Mar 31, 2026
Mar 31, 202510 then
Private funds: no history
RAUM -14% over the last fiscal yearIARs 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
- $478MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%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 investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$478M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Peter Kevin Gerlitz · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- Jerome Stephen Ketchum · Managing Partnercontrolsince 01/2024 · owns less than 5%
- Lynne Wendy Ruberti · General Counselcontrolsince 01/2024 · owns less than 5%
- J.S. Andrea Sayago · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- Zeller Sarah Seelaus · Chief Operating Officercontrolsince 01/2024 · owns less than 5%
- Jerome Stephen Ketchum · Membercontrolsince 12/2020 · owns 75% or more of Spc Consolidator LLC
- Deganahl Charles Koch · Shareholdercontrolsince 03/1962 · owns 25% to 50% of Koch Industries Inc
- F Julia Koch · Shareholdercontrolsince 08/2019 · owns 25% to 50% of Koch Industries Inc
Entity owners
- Sound Point Capital 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
- Koch Industries Inc · Memberindirect · owns 75% or more of Koch Financial Assets III, LLC
- 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
- Koch Financial Assets III, LLC · Memberdirect · owns 25% to 50%
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 adviserbankpooled vehicle sponsoryRAUM $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, LLCbankpooled 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, LLCbankn
- Sound Point Employee Investment (US Dl II Non-US Rn) Limitedbankn
- 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 Senior Gp, LLCbankpooled vehicle sponsorn
- Sound Point Strategic Capital Gp II, LLC (Delaware)bankn
- 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
- Sound Point U.S. Direct Lending II (Lux) Gp Sarlbankpooled vehicle sponsorn
Advisers that list Sound Point Meridian Management Company LLC as a related person
- 128132 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- large related person networkStatic outlier · filing Mar 31, 2026related persons on Schedule D 7.A of 40.0 against a peer median of 5.0 (488 comparable advisers, 99.0th percentile, 11.8 robust deviations)peers: asset managers, $100M to $500M (488) · 99% percentile
What changed
consecutive filings, newest first
- Employees · 10 to 9Aug 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $553M to $478MAug 22, 2025 to Mar 31, 2026
- RAUM · $553M to $478MAug 22, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 1, 2025
- Advisory employees · 4 to 5Aug 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $2 to $553MAug 29, 2024 to Mar 31, 2025
- RAUM · $2 to $553MAug 29, 2024 to Mar 31, 2025
Signals
1 dated events
- Sound Point Meridian Management Company Llc filed its initial SEC registration (Form ADV)Feb 16, 2024 · 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
- soundpointmeridiancap.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