SOUND POINT CAPITAL MANAGEMENT, LP of NEW YORK, NY is an SEC-registered investment adviser (CRD 157479). Regulatory assets under management: $37.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance, Other.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 29 people.
| Name | Role | Location |
|---|---|---|
| Stephen Jerome Ketchum | MANAGING PARTNER; MEMBER | New York, NY |
| JAMES DAWSON CAREY | MEMBER, BOARD OF MANAGERS | GREENWICH, CT |
| Charles Arthur Davis | LIMITED PARTNER | — |
| Stephen Nmn Friedman | LIMITED PARTNER | — |
| Sarah Zeller Seelaus | CHIEF OPERATING OFFICER | — |
| David Jay Wermuth | LIMITED PARTNER | — |
| Nicolas David Zerbib | LIMITED PARTNER | — |
| Thomas Lane Newberry | CHIEF CREDIT 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 | — |
| RUBERTI WENDY RAPP | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| FELDMAN BRIAN MATTHEW | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| GERLITZ KEVIN PETER | CFO; CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER | — |
| DAVIS JAMES ARTHUR | LIMITED PARTNER; MANAGING MEMBER; MEMBER | — |
| CAREY JAMES DAWSON | MANAGING MEMBER; MEMBER, BOARD OF MANAGERS | — |
| WERMUTH DAVID JAY | LIMITED PARTNER; MANAGING MEMBER | — |
| ZERBIB NICOLAS DAVID | LIMITED PARTNER; MANAGING MEMBER | — |
| FRIEDMAN STEPHEN | MANAGING MEMBER; MEMBER | — |
| KETCHUM STEPHEN JEROME | CEO; MANAGING MEMBER; MANAGING PARTNER (+1 more) | — |
| FRIEDMAN STEPHEN NMN | LIMITED PARTNER; MANAGING MEMBER | — |
| SAYAGO ANDREA JS | CHIEF COMPLIANCE OFFICER | — |
| NEWBERRY THOMAS LANE | CHIEF CREDIT OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-26 | regulatory | THE SEC ALLEGED THAT, PRIOR TO JULY 2022, REGISTRANT'S WRITTEN POLICIES AND PROCEDURES REGARDING THE PREVENTION OF MISUSE OF POTENTIALLY MATERIAL NON-PUBLIC INFORMATION WERE NOT SUFFICIENTLY IMPLEMENTED AND ENFORCED IN CERTAIN CIRCUMSTANCES WHEN REGISTRANT TRADED THE TRANCHES OF COLLATERALIZED LOAN… | Final | $1.8M |
| — | regulatory | — | — | — |