Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Sound Point Capital Management, LP
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
SPC CONSOLIDATOR LLCDirect owner · Schedule AInterest in SOUND POINT CAPITAL MANAGEMENT, LP
25% to < 50%
ASSURED GUARANTY US HOLDINGS INC.Direct owner · Schedule AInterest in SOUND POINT CAPITAL MANAGEMENT, LP
25% to < 50%
BLUE OWL GP STAKES II (A) LPDirect owner · Schedule AInterest in SOUND POINT CAPITAL MANAGEMENT, LP
10% to < 25%
CHARLES ARTHUR DAVISDirect owner · Schedule AInterest in SOUND POINT CAPITAL MANAGEMENT, LP
5% to < 10%
STEPHEN NMN FRIEDMANDirect owner · Schedule AInterest in SOUND POINT CAPITAL MANAGEMENT, LP
5% to < 10%
STEPHEN JEROME KETCHUMDirect owner · Schedule AInterest in SOUND POINT CAPITAL MANAGEMENT, LP
< 5%
SPC PARTNERS GP, LLCDirect owner · Schedule AInterest in SOUND POINT CAPITAL MANAGEMENT, LP
< 5%
JAMES DAWSON CAREYDirect owner · Schedule AInterest in SOUND POINT CAPITAL MANAGEMENT, LP
< 5%
DAVID JAY WERMUTHDirect owner · Schedule AInterest in SOUND POINT CAPITAL MANAGEMENT, LP
< 5%
NICOLAS DAVID ZERBIBDirect owner · Schedule AInterest in SOUND POINT CAPITAL MANAGEMENT, LP
< 5%
STEPHEN JEROME KETCHUMIndirect owner · Schedule BInterest in SPC CONSOLIDATOR LLC
75%+
BLUE OWL GP STAKES II OFFSHORE INVESTORS LPIndirect owner · Schedule BInterest in DYAL U.S. II LLC
75%+
BLUE OWL CAPITAL CARRY LPIndirect owner · Schedule BInterest in BLUE OWL GP STAKES GP HOLDINGS LLC
75%+
BLUE OWL CAPITAL HOLDINGS LPIndirect owner · Schedule BInterest in BLUE OWL CAPITAL CARRY LP
75%+
BLUE OWL CAPITAL INC.Indirect owner · Schedule BInterest in BLUE OWL CAPITAL GP HOLDINGS LLC
75%+
BLUE OWL CAPITAL GP HOLDINGS LLCIndirect owner · Schedule BInterest in BLUE OWL CAPITAL GP LLC
75%+
ASSURED GUARANTY LTD.Indirect owner · Schedule BInterest in ASSURED GUARANTY US HOLDINGS INC.
75%+
DYAL U.S. II LLCIndirect owner · Schedule BInterest in BLUE OWL GP STAKES II (A) LP
50% to < 75%
BLUE OWL GP STAKES II US INVESTORS LPIndirect owner · Schedule BInterest in BLUE OWL GP STAKES II (A) LP
25% to < 50%
BLUE OWL CAPITAL GP LLCIndirect owner · Schedule BInterest in BLUE OWL CAPITAL HOLDINGS LP
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Sound Point Capital Management, LP.
Reported ownership and control details
Form ADV · Filing date 2026-03-31 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | STEPHEN JEROME KETCHUMMANAGING PARTNERIndividual | SOUND POINT CAPITAL MANAGEMENT, LP | Less than 5%Code NA | Yes | MANAGING PARTNER09/2009 | Schedule APDF page 332 |
| 2 | SPC PARTNERS GP, LLCGENERAL PARTNERDomestic entity | SOUND POINT CAPITAL MANAGEMENT, LP | Less than 5%Code NA | Yes | GENERAL PARTNER09/2009 | Schedule APDF page 332 |
| 3 | CHARLES ARTHUR DAVISLIMITED PARTNERIndividual | SOUND POINT CAPITAL MANAGEMENT, LP | 5% to less than 10%Code A | No | LIMITED PARTNER10/2014 | Schedule APDF page 332 |
| 4 | STEPHEN NMN FRIEDMANLIMITED PARTNERIndividual | SOUND POINT CAPITAL MANAGEMENT, LP | 5% to less than 10%Code A | No | LIMITED PARTNER10/2014 | Schedule APDF page 332 |
| 5 | JAMES DAWSON CAREYMEMBER, BOARD OF MANAGERSIndividual | SOUND POINT CAPITAL MANAGEMENT, LP | Less than 5%Code NA | Yes | MEMBER, BOARD OF MANAGERS11/2009 | Schedule APDF page 332 |
| 6 | BLUE OWL GP STAKES II (A) LPLIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LPForeign entity | SOUND POINT CAPITAL MANAGEMENT, LP | 10% to less than 25%Code B | No | LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP03/2017 | Schedule APDF page 332 |
| 7 | SPC CONSOLIDATOR LLCLIMITED PARTNERDomestic entity | SOUND POINT CAPITAL MANAGEMENT, LP | 25% to less than 50%Code C | Yes | LIMITED PARTNER12/2020 | Schedule APDF page 332 |
| 8 | SARAH ZELLER SEELAUSCHIEF OPERATING OFFICERIndividual | SOUND POINT CAPITAL MANAGEMENT, LP | Less than 5%Code NA | Yes | CHIEF OPERATING OFFICER09/2018 | Schedule APDF page 332 |
| 9 | DAVID JAY WERMUTHLIMITED PARTNERIndividual | SOUND POINT CAPITAL MANAGEMENT, LP | Less than 5%Code NA | No | LIMITED PARTNER10/2014 | Schedule APDF page 332 |
| 10 | NICOLAS DAVID ZERBIBLIMITED PARTNERIndividual | SOUND POINT CAPITAL MANAGEMENT, LP | Less than 5%Code NA | No | LIMITED PARTNER10/2014 | Schedule APDF page 332 |
| 11 | THOMAS LANE NEWBERRYCHIEF CREDIT OFFICERIndividual | SOUND POINT CAPITAL MANAGEMENT, LP | Less than 5%Code NA | Yes | CHIEF CREDIT OFFICER07/2021 | Schedule APDF page 332 |
| 12 | ANDREA J.S. SAYAGOCHIEF COMPLIANCE OFFICERIndividual | SOUND POINT CAPITAL MANAGEMENT, LP | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER08/2022 | Schedule APDF page 332 |
| 13 | ASSURED GUARANTY US HOLDINGS INC.LIMITED PARTNERDomestic entity | SOUND POINT CAPITAL MANAGEMENT, LP | 25% to less than 50%Code C | Yes | LIMITED PARTNER07/2023 | Schedule APDF page 333 |
| 14 | DANIEL STEVEN FABIANGLOBAL CHIEF FINANCIAL OFFICERIndividual | SOUND POINT CAPITAL MANAGEMENT, LP | Less than 5%Code NA | Yes | GLOBAL CHIEF FINANCIAL OFFICER06/2025 | Schedule APDF page 333 |
| 15 | VINCENT ANTHONY DARPINOGENERAL COUNSELIndividual | SOUND POINT CAPITAL MANAGEMENT, LP | Less than 5%Code NA | Yes | GENERAL COUNSEL10/2025 | Schedule APDF page 333 |
| 16 | STEPHEN JEROME KETCHUMMEMBERIndividual | SPC CONSOLIDATOR LLC | 75% or moreCode E | Yes | MEMBER12/2020 | Schedule BPDF page 333 |
| 17 | BLUE OWL GP STAKES II GP LLCGENERAL PARTNERForeign entity | BLUE OWL GP STAKES II (A) LP | Percentage not specifiedCode F | Yes | GENERAL PARTNER05/2021 | Schedule BPDF page 333 |
| 18 | BLUE OWL GP STAKES II US INVESTORS LPLIMITED PARTNERDomestic entity | BLUE OWL GP STAKES II (A) LP | 25% to less than 50%Code C | Yes | LIMITED PARTNER09/2013 | Schedule BPDF page 333 |
| 19 | DYAL U.S. II LLCLIMITED PARTNERDomestic entity | BLUE OWL GP STAKES II (A) LP | 50% to less than 75%Code D | Yes | LIMITED PARTNER12/2013 | Schedule BPDF page 333 |
| 20 | BLUE OWL GP STAKES II GP LLCGENERAL PARTNERForeign entity | BLUE OWL GP STAKES II US INVESTORS LP | Percentage not specifiedCode F | Yes | GENERAL PARTNER05/2021 | Schedule BPDF page 333 |
| 21 | BLUE OWL GP STAKES II OFFSHORE INVESTORS LPMEMBERForeign entity | DYAL U.S. II LLC | 75% or moreCode E | Yes | MEMBER12/2013 | Schedule BPDF page 333 |
| 22 | BLUE OWL GP STAKES II GP LLCMANAGING MEMBERForeign entity | DYAL U.S. II LLC | Percentage not specifiedCode F | Yes | MANAGING MEMBER05/2021 | Schedule BPDF page 333 |
| 23 | BLUE OWL GP STAKES II GP LLCGENERAL PARTNERForeign entity | BLUE OWL GP STAKES II OFFSHORE INVESTORS LP | Percentage not specifiedCode F | Yes | GENERAL PARTNER05/2021 | Schedule BPDF page 333 |
| 24 | BLUE OWL GP STAKES GP HOLDINGS LLCMANAGING MEMBERDomestic entity | BLUE OWL GP STAKES II GP LLC | Percentage not specifiedCode F | Yes | MANAGING MEMBER05/2021 | Schedule BPDF page 333 |
| 25 | BLUE OWL CAPITAL CARRY LPMEMBERDomestic entity | BLUE OWL GP STAKES GP HOLDINGS LLC | 75% or moreCode E | Yes | MEMBER05/2021 | Schedule BPDF page 333 |
| 26 | BLUE OWL CAPITAL HOLDINGS LPLIMITED PARTNERDomestic entity | BLUE OWL CAPITAL CARRY LP | 75% or moreCode E | Yes | LIMITED PARTNER04/2025 | Schedule BPDF page 333 |
| 27 | BLUE OWL CAPITAL GP LLCGENERAL PARTNERDomestic entity | BLUE OWL CAPITAL CARRY LP | Percentage not specifiedCode F | Yes | GENERAL PARTNER05/2021 | Schedule BPDF page 333 |
| 28 | BLUE OWL CAPITAL INC.MANAGING MEMBERDomestic entity | BLUE OWL CAPITAL GP HOLDINGS LLC | 75% or moreCode E | Yes | MANAGING MEMBER11/2021 | Schedule BPDF page 333 |
| 29 | BLUE OWL CAPITAL GP HOLDINGS LLCMANAGING MEMBERDomestic entity | BLUE OWL CAPITAL GP LLC | 75% or moreCode E | Yes | MANAGING MEMBER11/2021 | Schedule BPDF page 333 |
| 30 | ASSURED GUARANTY LTD.SHAREHOLDERForeign entity | ASSURED GUARANTY US HOLDINGS INC. | 75% or moreCode E | Yes | SHAREHOLDER02/2004 | Schedule BPDF page 334 |
| 31 | BLUE OWL CAPITAL GP LLCGENERAL PARTNERDomestic entity | BLUE OWL CAPITAL HOLDINGS LP | 25% to less than 50%Code C | Yes | GENERAL PARTNER04/2025 | Schedule BPDF page 334 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
Item 11 responses have not been pulled yet for this RIA.
RIA or supervised-person involvementThe RIA’s response about whether these events involve the firm or its supervised persons is unavailable.RIA responseUnavailable
AFelonies2 Unavailable
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?Unavailable
- A2Been charged with a felony?Unavailable
BMisdemeanors2 Unavailable
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?Unavailable
- B2Been charged with a misdemeanor of the kind listed above?Unavailable
CSEC or CFTC actions5 Unavailable
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?Unavailable
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?Unavailable
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?Unavailable
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?Unavailable
DOther regulatory actions5 Unavailable
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?Unavailable
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?Unavailable
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?Unavailable
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?Unavailable
ESelf-regulatory organization actions4 Unavailable
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?Unavailable
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?Unavailable
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?Unavailable
FProfessional authorizations1 Unavailable
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?Unavailable
GPending regulatory proceedings1 Unavailable
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?Unavailable
HCivil judicial actions and proceedings4 Unavailable
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?Unavailable
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?Unavailable
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?Unavailable
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?Unavailable
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.