{
  "crd_number": 128132,
  "slug": "sound-point-luna-llc-new-york-ny-128132",
  "primary_business_name": "SOUND POINT LUNA LLC",
  "legal_name": "SOUND POINT LUNA LLC",
  "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": "2003-09-05",
  "years_registered": 23,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 10235860826.0,
  "raum_discretionary": 10209821748.0,
  "raum_non_discretionary": 26039078.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 39,
  "advisory_employees": 35,
  "client_count_bucket": null,
  "clients_by_type": {
    "other_investment_advisers": {
      "raum": 26039078.0,
      "count": 1
    },
    "pooled_investment_vehicles": {
      "raum": 10209821748.0,
      "count": 28
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 5,
  "states_registered": [
    "NY"
  ],
  "websites": [
    "https://linkedin.com/COMPANY/SOUND-POINT-CAPITAL-MANAGEMENT-LP",
    "https://soundpointcap.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/128132",
  "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-luna-llc-new-york-ny-128132",
  "display_name": "Sound Point Luna LLC",
  "summary": "Sound Point Luna LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2003, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. Sound Point Luna LLC (CRD 128132): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "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 Luna LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Sound Point Luna LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees."
    },
    {
      "q": "Where is Sound Point Luna LLC located?",
      "a": "Sound Point Luna LLC'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 Luna LLC registered with the SEC or a state?",
      "a": "Sound Point Luna LLC is an SEC-registered investment advisory firm, registered since 2003. Status as filed: Approved. CRD 128132."
    },
    {
      "q": "How much does Sound Point Luna LLC manage?",
      "a": "Sound Point Luna LLC reports $10,235,860,826 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)."
    },
    {
      "q": "How have Sound Point Luna LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Sound Point Luna LLC: Regulatory assets under management: $13,676,116,000 in the October 2021 data and $10,235,860,826 in the October 2026 data, down 25%. Total employees: 95 in October 2021 and 39 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 Luna LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (28); other investment advisers (1)."
    },
    {
      "q": "Which custodians does Sound Point Luna LLC use?",
      "a": "Sound Point Luna LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Bank of New York Mellon as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Sound Point Luna LLC 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/128132"
    },
    {
      "q": "What changed in Sound Point Luna LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 40 to 35. Regulatory assets under management went from $11,410,848,396 to $10,235,860,826 (-10%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 13676116000.0,
      "total_employees": 95,
      "filing_date": "2021-03-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 18302976915.0,
      "total_employees": 85,
      "filing_date": "2022-08-29"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 14577492000.0,
      "total_employees": 12,
      "filing_date": "2023-07-28"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 13796662795.0,
      "total_employees": 13,
      "filing_date": "2024-08-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 11410848396.0,
      "total_employees": 44,
      "filing_date": "2025-07-01"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 10235860826.0,
      "total_employees": 39,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 40 to 35.",
        "Regulatory assets under management went from $11,410,848,396 to $10,235,860,826 (-10%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Bank of New York Mellon",
      "name_as_filed": "BANK OF NEW YORK MELLON",
      "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-luna-llc-new-york-ny-128132.md",
  "clients": [
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 28,
      "fewer_than_5": false,
      "raum": 10209821748.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 1,
      "fewer_than_5": false,
      "raum": 26039078.0
    }
  ],
  "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/128132",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}