{"url":"https://nivawealth.com/firms/sound-point-capital-management-157479","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/157479","regulatoryAum":36980461403,"crd":"157479","secFileNumber":"801-72515","legalName":"Sound Point Capital Management, LP","displayName":"Sound Point Capital Management","website":"http://www.soundpointcap.com","founded":null,"organization":"Delaware limited partnership","fiscalYearEnd":"December","headquarters":{"street":"375 Park Avenue, 34th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10152"},"tradeNames":[],"registration":{"secApproved":"12 July 2011","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":200,"advisory":85,"brokerDealerReps":0,"insuranceAgents":0,"promoters":9},"aum":{"discretionary":36980461398,"discretionaryAccounts":158,"nonDiscretionary":5,"nonDiscretionaryAccounts":4,"wrapProgram":null,"nonUsClientsPct":69,"nonAumClients":5},"clientTypes":[{"label":"Investment companies","clients":1,"regulatoryAum":0},{"label":"Business development companies","clients":1,"regulatoryAum":601782366},{"label":"Pooled investment vehicles","clients":142,"regulatoryAum":35142449957},{"label":"Insurance companies","clients":13,"regulatoryAum":946581608},{"label":"Corporations and other businesses","clients":4,"regulatoryAum":289647472}],"fees":[],"feeNotes":[],"custodians":[{"name":"Bank of New York Mellon","shortName":"Bank of New York Mellon","location":"New York, NY","smaAssets":840624170},{"name":"Northern Trust","shortName":"Northern Trust","location":"New York, NY","smaAssets":287728964}],"custodyNote":"Sound Point Capital Management has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Daniel Fabian","title":"Global Chief Financial Officer","crd":"6159551"},{"name":"Sarah Seelaus","title":"Chief Operating Officer","crd":"7072373"},{"name":"Andrea Sayago","title":"Chief Compliance Officer","crd":"6042456"},{"name":"James Carey","title":"Member, Board of Managers","crd":"2656436"},{"name":"Vincent Darpino","title":"General Counsel","crd":"1551042"},{"name":"Charles Davis","title":"Limited Partner","crd":"816660"},{"name":"Stephen Friedman","title":"Limited Partner","crd":"214729"},{"name":"Stephen Ketchum","title":"Managing Partner","crd":"1274772"},{"name":"Thomas Newberry","title":"Chief Credit Officer","crd":"2120648"},{"name":"David Wermuth","title":"Limited Partner","crd":"5473034"},{"name":"Nicolas Zerbib","title":"Limited Partner","crd":"5473031"}],"ownership":[{"label":"Charles Davis","detail":"Limited partner in the 5% to 10% ownership band, since October 2014."},{"label":"Stephen Friedman","detail":"Limited partner in the 5% to 10% ownership band, since October 2014."},{"label":"Blue Owl GP Stakes II (a) LP","detail":"Limited partner of sound point capital management lp in the 10% to 25% ownership band, since March 2017."},{"label":"SPC Consolidator LLC","detail":"Limited partner in the 25% to 50% ownership band and a control person, since December 2020."},{"label":"Assured Guaranty US Holdings Inc.","detail":"Limited partner in the 25% to 50% ownership band and a control person, since July 2023."},{"label":"Stephen Ketchum","detail":"Indirect owner: a member of SPC Consolidator LLC in the 75% or more band and a control person, since December 2020.","parent":"SPC Consolidator LLC"},{"label":"Blue Owl GP Stakes II GP LLC","detail":"Indirect owner: general partner of Blue Owl GP Stakes II (a) LP and a control person, since May 2021. Also general partner of Blue Owl GP Stakes II US Investors LP and a control person, since May 2021. Also managing member of Dyal U.S. II LLC and a control person, since May 2021. Also general partner of Blue Owl GP Stakes II Offshore Investors LP and a control person, since May 2021.","parent":"Blue Owl GP Stakes II (a) LP"},{"label":"Blue Owl GP Stakes II US Investors LP","detail":"Indirect owner: a limited partner of Blue Owl GP Stakes II (a) LP in the 25% to 50% band and a control person, since September 2013.","parent":"Blue Owl GP Stakes II (a) LP"},{"label":"Dyal U.S. II LLC","detail":"Indirect owner: a limited partner of Blue Owl GP Stakes II (a) LP in the 50% to 75% band and a control person, since December 2013.","parent":"Blue Owl GP Stakes II (a) LP"},{"label":"Blue Owl GP Stakes II Offshore Investors LP","detail":"Indirect owner: a member of Dyal U.S. II LLC in the 75% or more band and a control person, since December 2013.","parent":"Dyal U.S. II LLC"},{"label":"Blue Owl GP Stakes GP Holdings LLC","detail":"Indirect owner: managing member of Blue Owl GP Stakes II GP LLC and a control person, since May 2021.","parent":"Blue Owl GP Stakes II GP LLC"},{"label":"Blue Owl Capital Carry LP","detail":"Indirect owner: a member of Blue Owl GP Stakes GP Holdings LLC in the 75% or more band and a control person, since May 2021.","parent":"Blue Owl GP Stakes GP Holdings LLC"},{"label":"Blue Owl Capital Holdings LP","detail":"Indirect owner: a limited partner of Blue Owl Capital Carry LP in the 75% or more band and a control person, since April 2025.","parent":"Blue Owl Capital Carry LP"},{"label":"Blue Owl Capital GP LLC","detail":"Indirect owner: general partner of Blue Owl Capital Carry LP and a control person, since May 2021. Also a general partner of Blue Owl Capital Holdings LP in the 25% to 50% band and a control person, since April 2025.","parent":"Blue Owl Capital Carry LP"},{"label":"Blue Owl Capital Inc.","detail":"Indirect owner: a managing member of Blue Owl Capital GP Holdings LLC in the 75% or more band and a control person, since November 2021.","parent":"Blue Owl Capital GP Holdings LLC"},{"label":"Blue Owl Capital GP Holdings LLC","detail":"Indirect owner: a managing member of Blue Owl Capital GP LLC in the 75% or more band and a control person, since November 2021.","parent":"Blue Owl Capital GP LLC"},{"label":"Assured Guaranty LTD.","detail":"Indirect owner: a shareholder of Assured Guaranty US Holdings Inc. in the 75% or more band and a control person, since February 2004.","parent":"Assured Guaranty US Holdings Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":5,"privateResidences":1},"listedOfficeAddresses":4,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"580 California Street","city":"San Francisco"}]},{"state":"Connecticut","offices":1,"addresses":[{"street":"411 West Putnam Avenue","city":"Greenwich"}]},{"state":"Florida","offices":1,"addresses":[{"street":"205 Datura Street","city":"West Palm Beach"}]},{"state":"New York","offices":1,"addresses":[{"street":"375 Park Avenue, 34th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-895-2280","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees","Other"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":2},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":36},{"label":"Cash and cash equivalents","percent":12},{"label":"Other","percent":49,"detail":"Bank Loans"}],"privateFunds":52},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/157479/PDF/157479.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Sound Point Capital Management have?","answer":"Sound Point Capital Management has 161 clients and manages $37 billion for them, as of March 2026. They include 142 pooled investment vehicles, 13 insurance companies and 4 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sound Point Capital Management offer?","answer":"Sound Point Capital Management provides portfolio management for investment companies, portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Sound Point Capital Management use?","answer":"Sound Point Capital Management’s separately managed account assets are held at Bank of New York Mellon (New York, NY), with $840,624,170 and Northern Trust (New York, NY), with $287,728,964. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sound Point Capital Management have?","answer":"Sound Point Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 200 employees, and 85 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Sound Point Capital Management invest in?","answer":"At the end of its last fiscal year, Sound Point Capital Management’s separately managed accounts held 49% bank loans, 36% pooled vehicles (private funds and similar), 12% cash and equivalents, 2% exchange-traded equities and 1% non-exchange-traded equities. It advises 52 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Sound Point Capital Management?","answer":"Sound Point Capital Management is owned through a chain of holding companies by Stephen Ketchum, Blue Owl GP Stakes II US Investors LP, Blue Owl GP Stakes II Offshore Investors LP, Blue Owl Capital Holdings LP, Blue Owl Capital Inc. and Assured Guaranty LTD. Its direct owners are Charles Davis, Stephen Friedman, Blue Owl GP Stakes II (a) LP, SPC Consolidator LLC and Assured Guaranty US Holdings Inc., each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sound Point Capital Management get paid?","answer":"Sound Point Capital Management is paid through a percentage of assets under management, fixed fees, performance-based fees and other arrangements. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}