# SOUND POINT CLO C-MOA, LLC

SOUND POINT CLO C-MOA, LLC of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 293256
- Type: SEC-registered investment adviser
- SEC file number: 801-114824
- Location: 375 PARK AVENUE, 34TH FLOOR, NEW YORK, NY, 10152
- Phone: 212-895-2280
- Latest filing: 2026-03-31
- Regulatory AUM: $12.3B
- Discretionary AUM: $12.3B
- Clients: 40
- Accounts: 24

## Business model

- Compensation: % of AUM, Performance
- Clients served: Investment cos

## Officers, owners & control persons (20)

| Name | Role | Location |
| --- | --- | --- |
| [Stephen Jerome Ketchum](https://search.stillhousedata.com/person/3795) | MANAGING PARTNER; MEMBER | New York, NY |
| [Sarah Zeller Seelaus](https://search.stillhousedata.com/person/677175) | CHIEF OPERATING 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 | — |
| [GERLITZ KEVIN PETER](https://search.stillhousedata.com/person/755044) | CHIEF FINANCIAL OFFICER | — |
| [DAVIS JAMES ARTHUR](https://search.stillhousedata.com/person/757446) | LIMITED PARTNER | — |
| [CAREY JAMES DAWSON](https://search.stillhousedata.com/person/771803) | MEMBER, BOARD OF MANAGERS | — |
| [WERMUTH DAVID JAY](https://search.stillhousedata.com/person/771805) | LIMITED PARTNER | — |
| [ZERBIB NICOLAS DAVID](https://search.stillhousedata.com/person/771806) | LIMITED PARTNER | — |
| [KETCHUM STEPHEN JEROME](https://search.stillhousedata.com/person/793277) | MANAGING PARTNER; MEMBER | — |
| [FRIEDMAN STEPHEN NMN](https://search.stillhousedata.com/person/793827) | LIMITED PARTNER | — |
| [SAYAGO ANDREA JS](https://search.stillhousedata.com/person/812517) | CHIEF COMPLIANCE OFFICER | — |
| [SEELAUS SARAH ZELLER](https://search.stillhousedata.com/person/851926) | CHIEF OPERATING OFFICER | — |
| [RUBERTI WENDY LYNNE](https://search.stillhousedata.com/person/860006) | GENERAL COUNSEL; GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | — |
| [WICKER LILY YULIANI](https://search.stillhousedata.com/person/860007) | CHIEF COMPLIANCE OFFICER | — |
| [Andrea J.S. Sayago](https://search.stillhousedata.com/person/961712) | CHIEF COMPLIANCE OFFICER | New York, NY |


## Disclosures (8)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| — | regulatory | — | — | — |


## Private funds (24)

_Showing 15 of 24 funds by gross asset value._

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| SOUND POINT EURO CLO I FUNDING DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | Ireland | 0 | $713.3M | $250K |
| SOUND POINT EURO CLO 14 FUNDING DAC | Securitized Asset Fund | Ireland | 0 | $689.5M | $250K |
| SOUND POINT EURO CLO VII FUNDING DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | Ireland | 0 | $685.5M | $250K |
| SOUND POINT EURO CLO VIII FUNDING DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | Ireland | 0 | $683.7M | $250K |
| SOUND POINT EURO CLO 15 FUNDING DAC | Securitized Asset Fund | Ireland | 0 | $679.1M | $250K |
| SOUND POINT EURO CLO 11 FUNDING DAC | Securitized Asset Fund | Ireland | 0 | $618.6M | $250K |
| SOUND POINT EURO CLO 10 FUNDING DAC | Securitized Asset Fund | Ireland | 0 | $617.2M | $250K |
| SOUND POINT EURO CLO VI FUNDING DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | Ireland | 0 | $576.6M | $250K |
| SOUND POINT EURO CLO II FUNDING DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | Ireland | 0 | $555.7M | $250K |
| SOUND POINT EURO CLO V FUNDING DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | Ireland | 0 | $554.7M | $250K |
| SOUND POINT EURO CLO IV FUNDING DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | Ireland | 0 | $553.3M | $250K |
| SOUND POINT EURO CLO 12 FUNDING DAC | Securitized Asset Fund | Ireland | 0 | $553.3M | $250K |
| SOUND POINT EURO CLO III FUNDING DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | Ireland | 0 | $501.6M | $250K |
| BRANT POINT CLO 2024-5, LTD. | Securitized Asset Fund | Jersey | 0 | $492.5M | $250K |
| BRANT POINT CLO 2025-7, LTD. | Securitized Asset Fund | Cayman Islands | 0 | $397.4M | $250K |


## Branch offices (6)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| LONDON | — | 20 | 02037467250 |
| LONDON | — | 20 | 02037467250 |
| SAN FRANCISCO | CA | 2 | 2128952280 |
| SAN FRANCISCO | CA | 2 | 2128952280 |
| GREENWICH | CT | 0 | 2124685796 |
| GREENWICH | CT | 0 | 2124685796 |


## Fund service providers (10)

- administrator: THE BANK OF NEW YORK MELLON. S.A./N.V. — 4 funds
- administrator: US BANK GLOBAL CORPORATE TRUST SERVICES — 4 funds
- administrator: COMPUTERSHARE TRUST COMPANY, N.A. — 3 funds
- administrator: THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION — 3 funds
- administrator: THE BANK OF NEW YORK MELLON SA/NV — 2 funds
- administrator: U.S. BANK GLOBAL CORPORATE TRUST LIMITED — 2 funds
- administrator: U.S BANK TRUST COMPANY, N.A. — 2 funds
- administrator: VIRTUS GROUP, LP — 2 funds
- administrator: U.S. BANK GLOBAL CORPORATE TRUST SERVICES
- administrator: WESTERN ALLIANCE TRUST COMPANY, N.A.

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/293256/brochure
- Similar advisers: https://search.stillhousedata.com/firm/293256/similar
- Related entities: https://search.stillhousedata.com/firm/293256/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/293256

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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.