Sound Point Capital Management, LP
Registered investment adviser · New York, NY · CRD #157479
Form ADV data as of 2026-09-01Regulatory assets
$36.98 billion
Total accounts
162
Employees
200
Disclosure events
5
Firm details
- Website: https://www.linkedin.com/company/sound-point-capital-management-lp/
- Telephone: (212) 895-2280
- SEC file number: 801-72515
- Most recent Form ADV filing: 2026-03-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 5 disclosure questions answered Yes, covering 5 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- Another regulator found a violation of investment-related regulations or statutes
- Another regulator entered an order in connection with investment-related activity (past 10 years)
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $36.98 billion |
| Non-discretionary regulatory assets under management | $5 |
| Total regulatory assets under management | $36.98 billion |
| Discretionary accounts | 158 |
| Non-discretionary accounts | 4 |
| Total accounts | 162 |
| Regulatory assets under management attributable to non-U.S. persons | $32.83 billion |
People
| Total employees (excluding clerical) | 200 |
| Employees performing investment advisory functions (including research) | 85 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 0 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 9 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $0 |
| Clients for whom the firm has custody | 0 |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $6.56 billion |
| Clients for whom a related person has custody | 64 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 4 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys securities from or sells securities to advisory clients (principal transactions)
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities for which it serves as underwriter or general partner
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Investment companies | 1 | $0 |
| Business development companies | 1 | $601.8 million |
| Pooled investment vehicles (other than investment companies and BDCs) | 142 | $35.14 billion |
| Insurance companies | 13 | $946.6 million |
| Corporations or other businesses not listed above | 4 | $289.6 million |