{"url":"https://nivawealth.com/firms/sound-point-luna-128132","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/128132","regulatoryAum":10235860826,"crd":"128132","secFileNumber":"801-62330","legalName":"Sound Point Luna LLC","displayName":"Sound Point Luna","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":"5 September 2003","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":39,"advisory":35,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":10209821748,"discretionaryAccounts":28,"nonDiscretionary":26039078,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":90,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":28,"regulatoryAum":10209821748},{"label":"Other investment advisers","clients":1,"regulatoryAum":26039078}],"fees":[],"feeNotes":[],"custodians":[{"name":"Bank of New York Mellon","shortName":"Bank of New York Mellon","location":"New York, NY","smaAssets":13233776}],"custodyNote":"Sound Point Luna has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Stephen Ketchum","title":"Chief Executive Officer","crd":"1274772"},{"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"}],"ownership":[{"label":"Sound Point Capital Management, LP","detail":"Member in the 75% or more ownership band and a control person, since July 2023."},{"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":"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":"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 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"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":0},"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","Performance-based fees"],"activities":["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":46},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":54}],"privateFunds":24},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/128132/PDF/128132.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 Luna have?","answer":"Sound Point Luna has 29 clients and manages $10.2 billion for them, as of March 2026. They include 28 pooled investment vehicles and 1 other investment advisers.","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 Luna offer?","answer":"Sound Point Luna provides 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 Luna use?","answer":"Sound Point Luna’s separately managed account assets are held at Bank of New York Mellon (New York, NY), with $13,233,776. 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 Luna have?","answer":"Sound Point Luna has 0 investment adviser representatives registered with state securities authorities, out of 39 employees, and 35 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 Luna invest in?","answer":"At the end of its last fiscal year, Sound Point Luna’s separately managed accounts held 54% pooled vehicles (private funds and similar) and 46% exchange-traded equities. It advises 24 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 Luna?","answer":"Sound Point Luna is owned through a chain of holding companies by Assured Guaranty LTD. and Stephen Ketchum. Its direct owner is Sound Point Capital Management, LP (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sound Point Luna get paid?","answer":"Sound Point Luna 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."}