# SOUND POINT CAPITAL MANAGEMENT, LP

SOUND POINT CAPITAL MANAGEMENT, LP of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 157479
- Type: SEC-registered investment adviser
- SEC file number: 801-72515
- Location: 375 PARK AVENUE, 34TH FLOOR, NEW YORK, NY, 10152
- Phone: (212) 895-2280
- Latest filing: 2026-03-31
- Regulatory AUM: $37.0B
- Discretionary AUM: $37.0B
- Non-discretionary AUM: $5
- Clients: 200
- Accounts: 162

## Business model

- Compensation: % of AUM, Fixed, Performance, Other
- Clients served: Pooled vehicles, Investment cos

## Officers, owners & control persons (29)

_Showing 25 of 29 people._

| Name | Role | Location |
| --- | --- | --- |
| [Stephen Jerome Ketchum](https://search.stillhousedata.com/person/3795) | MANAGING PARTNER; MEMBER | New York, NY |
| [JAMES DAWSON CAREY](https://search.stillhousedata.com/person/506776) | MEMBER, BOARD OF MANAGERS | GREENWICH, CT |
| [Charles Arthur Davis](https://search.stillhousedata.com/person/677173) | LIMITED PARTNER | — |
| [Stephen Nmn Friedman](https://search.stillhousedata.com/person/677174) | LIMITED PARTNER | — |
| [Sarah Zeller Seelaus](https://search.stillhousedata.com/person/677175) | CHIEF OPERATING OFFICER | — |
| [David Jay Wermuth](https://search.stillhousedata.com/person/677176) | LIMITED PARTNER | — |
| [Nicolas David Zerbib](https://search.stillhousedata.com/person/677177) | LIMITED PARTNER | — |
| [Thomas Lane Newberry](https://search.stillhousedata.com/person/677178) | CHIEF CREDIT OFFICER | — |
| [Andrea JS Sayago](https://search.stillhousedata.com/person/677179) | CHIEF COMPLIANCE OFFICER | New York, NY |
| [Daniel Steven Fabian](https://search.stillhousedata.com/person/677180) | GLOBAL CHIEF FINANCIAL OFFICER | — |
| [Vincent Anthony Darpino](https://search.stillhousedata.com/person/677181) | ACTING GENERAL COUNSEL; GENERAL COUNSEL | — |
| [Wendy Lynne Ruberti](https://search.stillhousedata.com/person/689291) | GENERAL COUNSEL | — |
| [Kevin Peter Gerlitz](https://search.stillhousedata.com/person/708567) | CHIEF FINANCIAL OFFICER | — |
| [RUBERTI WENDY RAPP](https://search.stillhousedata.com/person/730730) | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| [FELDMAN BRIAN MATTHEW](https://search.stillhousedata.com/person/746460) | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| [GERLITZ KEVIN PETER](https://search.stillhousedata.com/person/755044) | CFO; CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER | — |
| [DAVIS JAMES ARTHUR](https://search.stillhousedata.com/person/757446) | LIMITED PARTNER; MANAGING MEMBER; MEMBER | — |
| [CAREY JAMES DAWSON](https://search.stillhousedata.com/person/771803) | MANAGING MEMBER; MEMBER, BOARD OF MANAGERS | — |
| [WERMUTH DAVID JAY](https://search.stillhousedata.com/person/771805) | LIMITED PARTNER; MANAGING MEMBER | — |
| [ZERBIB NICOLAS DAVID](https://search.stillhousedata.com/person/771806) | LIMITED PARTNER; MANAGING MEMBER | — |
| [FRIEDMAN STEPHEN](https://search.stillhousedata.com/person/791246) | MANAGING MEMBER; MEMBER | — |
| [KETCHUM STEPHEN JEROME](https://search.stillhousedata.com/person/793277) | CEO; MANAGING MEMBER; MANAGING PARTNER (+1 more) | — |
| [FRIEDMAN STEPHEN NMN](https://search.stillhousedata.com/person/793827) | LIMITED PARTNER; MANAGING MEMBER | — |
| [SAYAGO ANDREA JS](https://search.stillhousedata.com/person/812517) | CHIEF COMPLIANCE OFFICER | — |
| [NEWBERRY THOMAS LANE](https://search.stillhousedata.com/person/814518) | CHIEF CREDIT OFFICER | — |


## Disclosures (14)

| 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 | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/157479/brochure
- Similar advisers: https://search.stillhousedata.com/firm/157479/similar
- Related entities: https://search.stillhousedata.com/firm/157479/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/157479

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.