SEC-Registered Investment Adviser
Sound Point Luna LLC
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated March 31, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- September 5, 2003
- Principal office
- 375 Park Avenue, 34th Floor, New York, NY 10152
- Organized as
- Limited Liability Company, DE
- Fiscal year end
- December
- Other offices
- 4
- Website
- www.soundpointcap.com
Scale
- Regulatory AUM
- $10.2B
- Discretionary / non-discretionary
- $10.2B / $26.0M
- Attributable to non-US clients
- $9.3B
- Accounts
- 29
- Clients
- 0
- Employees
- 39, 35 in advisory roles
- Private funds advised
- 24
- Private fund gross assets
- $9.0B
- Fund types
- 2 private equity funds
- Funds with Form D records
- 1 issuer in AltStreet's ledger
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients
- Compensated by
- a percentage of assets under management and performance-based fees
- Client types
- pooled investment vehicles (28); other investment advisers (1)
- Also engaged as
- commodity pool operator or commodity trading advisor
- Related persons include
- another investment adviser, a commodity pool operator or commodity trading advisor, a sponsor or syndicator of limited partnerships and a sponsor, general partner or managing member of pooled investment vehicles
- Affiliates
- 9 investment advisers
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2))
- SEC or CFTC order against the firm or an affiliate (Item 11C(4))
- SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5))
- other regulator finding of a violation (Item 11D(2))
- other regulator order, denial, suspension or revocation (Item 11D(4))
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.