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Joseph Grogan

US Chief Compliance Officer at Sona Asset Management (us)

Officer record from the firm’s Form ADVForm ADV filed 9 July 2026

Joseph Grogan is US Chief Compliance Officer of Sona Asset Management (us) LLC, a New York investment adviser.

Role at Sona Asset Management (us)

Title on Schedule A
US Chief Compliance Officer
Control
Joseph Grogan is a control person of Sona Asset Management (us).
Ownership
An individual ownership band is not available in the source record.
Tenure
Joseph Grogan has held the filed role since January 2026.

The firm

Sona Asset Management (us) LLC
New York, NY

Form ADV filed 9 July 2026

$33.5B AUM20 clients31 advisers1 offices

Career on record

The IAPD individual lookup on 18 October 2026 returned no individual record. This profile uses the firm’s Form ADV officer listing.

Registrations and exams

Individual registration and examination information for Joseph Grogan is unavailable. An officer title or CRD number does not by itself establish current investment adviser representative registration, and no registration or examination counts are inferred.

Officer record

Full name
Joseph Grogan
CRD
4901846
Firm
Sona Asset Management (us) LLC
Record basis
Form ADV officer listing

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Joseph Grogan work?

Joseph Grogan has been US Chief Compliance Officer of Sona Asset Management (us) LLC since January 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 9 July 2026

Leadership at Sona Asset Management (us)

Sources

  1. IAPD individual lookup, CRD 4901846. This profile uses the Form ADV officer listing; the individual lookup did not provide a current investment-adviser record.
  2. Form ADV Part 1A, Schedules A and B of Sona Asset Management (us) LLC, filed 9 July 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Joseph Grogan or Sona Asset Management (us) LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.