# Sophis Investments LLC

> Sophis Investments LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2019, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 29, 2026.

- CRD: 170391
- Filed as: SOPHIS INVESTMENTS LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: July 29, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/170391
- AdvisorCensus page: https://advisorcensus.com/firm/sophis-investments-llc-new-york-ny-170391

## Quick answers

**How is Sophis Investments LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Sophis Investments LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Sophis Investments LLC located?**
Sophis Investments LLC's principal office is in New York, NY, according to its Form ADV.

**Is Sophis Investments LLC registered with the SEC or a state?**
Sophis Investments LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 170391.

**How much does Sophis Investments LLC manage?**
Sophis Investments LLC reports $129,871,423 in regulatory assets under management in its Form ADV filing dated July 29, 2026 (68% discretionary).

**How have Sophis Investments LLC's assets and staff changed since 2021?**
In the Form ADV data for Sophis Investments LLC: Regulatory assets under management: $106,212,551 in the October 2021 data and $129,871,423 in the October 2026 data, up 22%. Total employees: 5 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Sophis Investments LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (22); individuals (other than high net worth individuals) (17); corporations or other businesses not listed above (2).

**Which custodians does Sophis Investments LLC use?**
Sophis Investments LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Pershing Advisor Solutions LLC as custodians holding 10% or more of its separately managed account assets.

**Does Sophis Investments LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/170391

**What changed in Sophis Investments LLC's recent Form ADV filings?**
In the August 2026 filing data: Registered or notice-filed in NE.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Pershing Advisor Solutions LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $129,871,423
- Discretionary: $88,959,574
- Non-discretionary: $40,911,849

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 17 | $3,764,530 |
| High net worth individuals | 22 | $123,176,143 |
| Corporations or other businesses not listed above | 2 | $2,930,750 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2019 (7 years)
- Employees: 5 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, NE, NJ, NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [sophis.co](https://sophis.co)
- [sophisinvestments.com](https://sophisinvestments.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $106,212,551 | 5 | April 16, 2021 |
| October 2022 | $130,716,617 | 5 | April 1, 2022 |
| October 2023 | $110,322,601 | 5 | March 30, 2023 |
| October 2024 | $130,304,634 | 5 | February 16, 2024 |
| October 2025 | $137,569,772 | 5 | April 1, 2025 |
| October 2026 | $129,871,423 | 5 | July 29, 2026 |

Regulatory assets under management: $106,212,551 in the October 2021 data and $129,871,423 in the October 2026 data, up 22%.
Total employees: 5 in October 2021 and 5 in October 2026.

## Changes in the filing (last 12 months)

### August 2026
- Registered or notice-filed in NE.

### January 2026
- No longer registered or notice-filed in CA.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sophis Investments LLC (CRD 170391): Form ADV filing data as of October 2026.