{
  "crd_number": 157479,
  "slug": "sound-point-capital-management-lp-new-york-ny-157479",
  "primary_business_name": "SOUND POINT CAPITAL MANAGEMENT, LP",
  "legal_name": "SOUND POINT CAPITAL MANAGEMENT, LP",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2011-07-12",
  "years_registered": 15,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 36980461403.0,
  "raum_discretionary": 36980461398.0,
  "raum_non_discretionary": 5.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 200,
  "advisory_employees": 85,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 0.0,
      "count": 0
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 946581608.0,
      "count": 13
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 1
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 0.0,
      "count": 0
    },
    "pooled_investment_vehicles": {
      "raum": 35142449957.0,
      "count": 142
    },
    "corporations_other_businesses": {
      "raum": 289647472.0,
      "count": 4
    },
    "business_development_companies": {
      "raum": 601782366.0,
      "count": 1
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "other",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 5,
  "states_registered": [
    "NE",
    "NY"
  ],
  "websites": [
    "https://linkedin.com/COMPANY/SOUND-POINT-CAPITAL-MANAGEMENT-LP",
    "https://soundpointcap.com",
    "https://soundpointmeridiancap.com/overview/default.aspx",
    "https://usdl.soundpointcap.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/157479",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/sound-point-capital-management-lp-new-york-ny-157479",
  "display_name": "Sound Point Capital Management, LP",
  "summary": "Sound Point Capital Management, LP is an SEC-registered investment advisory firm in New York, NY, registered since 2011, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. Sound Point Capital Management, LP (CRD 157479): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees",
    "Other"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Sound Point Capital Management, LP compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Sound Point Capital Management, LP reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees; other."
    },
    {
      "q": "How much does Sound Point Capital Management, LP charge?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Asset-based fee: 0.5% to 2% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Sound Point Capital Management, LP located?",
      "a": "Sound Point Capital Management, LP's principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 4 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Sound Point Capital Management, LP registered with the SEC or a state?",
      "a": "Sound Point Capital Management, LP is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 157479."
    },
    {
      "q": "How much does Sound Point Capital Management, LP manage?",
      "a": "Sound Point Capital Management, LP reports $36,980,461,403 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)."
    },
    {
      "q": "How have Sound Point Capital Management, LP's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Sound Point Capital Management, LP: Regulatory assets under management: $18,340,356,091 in the October 2021 data and $36,980,461,403 in the October 2026 data, up 102%. Total employees: 84 in October 2021 and 200 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Sound Point Capital Management, LP serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (142); insurance companies (13); corporations or other businesses not listed above (4)."
    },
    {
      "q": "Which custodians does Sound Point Capital Management, LP use?",
      "a": "Sound Point Capital Management, LP's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Bank of New York Mellon and Northern Trust as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Sound Point Capital Management, LP report any disciplinary disclosures?",
      "a": "Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/157479"
    },
    {
      "q": "What changed in Sound Point Capital Management, LP's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 71 to 85. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 18340356091.0,
      "total_employees": 84,
      "filing_date": "2021-09-17"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 25828139661.0,
      "total_employees": 120,
      "filing_date": "2022-08-17"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 33132682645.0,
      "total_employees": 175,
      "filing_date": "2023-07-29"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 38383491989.0,
      "total_employees": 185,
      "filing_date": "2024-08-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 34468662047.0,
      "total_employees": 182,
      "filing_date": "2025-07-01"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 36980461403.0,
      "total_employees": 200,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 71 to 85.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": "0.5% to 2% a year",
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 0.5% to 2% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "For most of such Sound Point Funds, the Management Fee is charged at an annual rate ranging between 0.5% and 2.0% of the net asset value of each investor’s investment in the applicable Sound Point Fund"
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": [
        0.5,
        2.0
      ],
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "For most of such Sound Point Funds, the Management Fee is charged at an annual rate ranging between 0.5% and 2.0% of the net asset value of each investor’s investment in the applicable Sound Point Fund"
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Bank of New York Mellon",
      "name_as_filed": "BANK OF NEW YORK MELLON",
      "affiliated": false
    },
    {
      "name": "Northern Trust",
      "name_as_filed": "NORTHERN TRUST",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/sound-point-capital-management-lp-new-york-ny-157479.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 1,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 1,
      "fewer_than_5": false,
      "raum": 601782366.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 142,
      "fewer_than_5": false,
      "raum": 35142449957.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 13,
      "fewer_than_5": false,
      "raum": 946581608.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 4,
      "fewer_than_5": false,
      "raum": 289647472.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 5 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/157479",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}