{"url":"https://nivawealth.com/firms/sound-point-clo-c-moa-293256","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/293256","regulatoryAum":12342427643,"crd":"293256","secFileNumber":"801-114824","legalName":"Sound Point Clo C-Moa, LLC","displayName":"Sound Point Clo C-Moa","website":null,"founded":null,"organization":"Delaware limited liability company","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":"14 February 2019","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":40,"advisory":36,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":12342427643,"discretionaryAccounts":24,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":100,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":24,"regulatoryAum":12342427643}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Sound Point Clo C-Moa does not have 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":"Vincent Darpino","title":"General Counsel","crd":"1551042"},{"name":"Stephen Ketchum","title":"Managing Partner","crd":"1274772"}],"ownership":[{"label":"Sound Point Euro Clo Management, LP","detail":"Member in the 50% to 75% ownership band and a control person, since February 2019."},{"label":"Sound Point Euro 2 Clo Management, LP","detail":"Member in the 50% to 75% ownership band and a control person, since February 2020."},{"label":"Sound Point Clo Management, GP LLC","detail":"Indirect owner: general partner of Sound Point Euro Clo Management, LP and a control person, since February 2019.","parent":"Sound Point Euro Clo Management, LP"},{"label":"Sound Point Capital Management, LP","detail":"Indirect owner: a managing member of Sound Point Clo Management GP, LLC in the 75% or more band and a control person, since December 2017.","parent":"Sound Point Clo Management GP, LLC"},{"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":"SPC Consolidator LLC","detail":"Indirect owner: a limited partner of Sound Point Capital Management, LP in the 25% to 50% band and a control person, since December 2020.","parent":"Sound Point Capital Management, LP"},{"label":"SPC Partners GP, LLC","detail":"Indirect owner: general partner of Sound Point Capital Management, LP and a control person, since September 2009.","parent":"Sound Point Capital Management, LP"},{"label":"Assured Guaranty US Holdings Inc.","detail":"Indirect owner: a limited partner of Sound Point Capital Management, LP in the 25% to 50% band and a control person, since July 2023.","parent":"Sound Point Capital Management, LP"},{"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."},{"label":"Sound Point Clo Management GP, LLC","detail":"Indirect owner: general partner of Sound Point Euro 2 Clo Management, LP and a control person, since February 2020.","parent":"Sound Point Euro 2 Clo Management, LP"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":0},"listedOfficeAddresses":3,"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":"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","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":24},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/293256/PDF/293256.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 Clo C-Moa have?","answer":"Sound Point Clo C-Moa has 24 clients and manages $12.3 billion for them, as of March 2026.","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 Clo C-Moa offer?","answer":"Sound Point Clo C-Moa provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Sound Point Clo C-Moa have?","answer":"Sound Point Clo C-Moa has 0 investment adviser representatives registered with state securities authorities, out of 40 employees, and 36 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":"Who owns Sound Point Clo C-Moa?","answer":"Sound Point Clo C-Moa is owned through a chain of holding companies by Stephen Ketchum and Assured Guaranty LTD. Its direct owners are Sound Point Euro Clo Management, LP (50% to 75%) and Sound Point Euro 2 Clo Management, LP (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sound Point Clo C-Moa get paid?","answer":"Sound Point Clo C-Moa is paid through a percentage of assets under management and performance-based fees. 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."}