SOUND POINT LUNA LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 128132). Regulatory assets under management: $10.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 45 people.
| Name | Role | Location |
|---|---|---|
| Stephen Jerome Ketchum | CHIEF EXECUTIVE OFFICER; MEMBER | New York, NY |
| Smith S Stephen | PARTNER; CO-CHIEF INVESTMENT OFFICER; SENIOR ADVISER | Lower Gwynned, PA |
| Sarah Zeller Seelaus | CHIEF OPERATING OFFICER | — |
| Andrea JS Sayago | CHIEF COMPLIANCE OFFICER | New York, NY |
| Daniel Steven Fabian | GLOBAL CHIEF FINANCIAL OFFICER | — |
| Vincent Anthony Darpino | ACTING GENERAL COUNSEL; GENERAL COUNSEL | — |
| Wendy Lynne Ruberti | GENERAL COUNSEL | — |
| Kevin Peter Gerlitz | CHIEF FINANCIAL OFFICER | — |
| ANDERSON MICHELLE MARIE | CO-CHIEF EXECUTIVE OFFICER OF BLUEVIRGO CAPITAL MANAGEMENT, LLC; MEMBER | — |
| STALEY JAMES EDWARD | MANAGING PARTNER; MEMBER | — |
| REEVES WILLIAM HUNTINGTON | CHIEF INVESTMENT OFFICER; MEMBER; PARTNER | — |
| PLATT MICHAEL EDWARD | CHIEF EXECUTIVE OFFICER; LIMITED PARTNER | — |
| GOLDBERG AARON | CHIEF FINANCIAL OFFICER | — |
| GERLITZ KEVIN PETER | CHIEF FINANCIAL OFFICER | — |
| FELDSTEIN ANDREW TODD | CHIEF EXECUTIVE OFFICER; CHIEF INVESTMENT OFFICER; CHIEF EXECUTIVE OFFICER; CO-CHIEF INVESTMENT OFFICER; MANAGING DIRECTOR (+3 more) | — |
| SIDEROW STEPHEN MILES | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER; CHIEF COMPLIANCE OFFICER; CO-PRESIDENT (+7 more) | — |
| SAMPERE GERY MARIUS | HEAD OF CREDIT RESEARCH; MANAGING PRINCIPAL; MANAGING PRINCIPAL; HEAD OF CREDIT RESEARCH | — |
| GERSTEIN ALAN JEFFREY | MANAGING PARTNER; MANAGING PRINCIPAL; PORTFOLIO MANAGER (+2 more) | — |
| LIBERMAN MICHAEL | CHIEF OPERATING OFFICER; CO-PRESIDENT; CHIEF OPERATING OFFICER; HEAD OF ANALYTICS & TECHNOLOGY; CHIEF TECHNOLOGY OFFICER; HEAD OF QUANTITATIVE STRATEGY (+6 more) | — |
| PAPPAS THOMAS | CHIEF EXECUTIVE OFFICER OF BLUE MOUNTAIN CAPITAL PARTNERS (LONDON) LLP; CHIEF EXECUTIVE OFFICER OF BLUEMOUNTAIN (LONDON); CO-CHIEF EXECUTIVE OFFICER OF BLUE MOUNTAIN CAPITAL PARTNERS (LONDON) LLP | — |
| COLE EDGAR ALLEN | MANAGING DIRECTOR; CHIEF OPERATING OFFICER | — |
| RUBENSTEIN DAVID ALAN | CHIEF FINANCIAL OFFICER; GENERAL COUNSEL; SECRETARY; CHIEF FINANCIAL OFFICER; GENERAL COUNSEL; SECRETARY; CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER; SECRETARY (+7 more) | — |
| MARKUS BRYCE | MANAGING PARTNER; MANAGING PARTNER; CO-PRESIDENT; CHIEF FINANCIAL OFFICER; CHIEF RISK OFFICER; MANAGING PARTNER; CO-PRESIDENT; CHIEF RISK OFFICER (+5 more) | — |
| KETCHUM STEPHEN JEROME | CHIEF EXECUTIVE OFFICER; MEMBER | — |
| MURRAY ADELE KITTREDGE | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-07-02 | regulatory | FINANSTILSYNET, THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY (FSA), DECIDED TO IMPOSE A VIOLATION CHARGE ON SOUND POINT LUNA LLC (FORMERLY KNOWN AS ASSURED INVESTMENT MANAGEMENT LLC, AND BEFORE THAT, BLUEMOUNTAIN CAPITAL MANAGEMENT, LLC), PURSUANT TO SECTION 4-3 AND SECTION 17-4, OF THE NORWAY SECU… | Final | $24K |
| — | regulatory | — | — | — |