SOUND POINT COMMERCIAL REAL ESTATE FINANCE LLC
Adviser information for SOUND POINT COMMERCIAL REAL ESTATE FINANCE LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 23 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6 | $2.4B |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $2.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 6 | $2.4B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMORIGINATION FEES |
| Other Business Activities | REAL ESTATE DIRECT LENDING |
Identifiers
| SEC RIA File Number | 801-120570 |
|---|---|
| SEC ERA File Number | 801-120570 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 311808 |
| Legal Entity Identifier | None |
Principal Office
375 PARK AVENUE34TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 212-895-2280, Fax: None
Chief Compliance Officer
ANDREA SAYAGO
CHIEF COMPLIANCE OFFICER & ASSOCIATE GENERAL COUNSEL
375 PARK AVENUE
33RD FLOOR
NEW YORK
NY
United States
Tel:
(212) 895-2280
A******@****************M
(Full email address available in API data)
Regulatory Contact
WENDY RUBERTI
GENERAL COUNSEL
375 PARK AVENUE
33RD FLOOR
NEW YORK
NY
United States
Tel:
(212) 895-2280
W*******@****************M
(Full email address available in API data)
Industry Affiliates
| BLUEMOUNTAIN MONTENVERS GP SARL | Sponsor, GP, manager of pooled investment vehicles |
| BLUEMOUNTAIN MONTENVERS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BLUEMOUNTAIN MONTENVERS HOLDINGS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOUND POINT ASSET BACKED GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOUND POINT BEACON GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT CAPITAL MANAGEMENT UK, LLP | Other investment adviser, including financial planners |
| SOUND POINT CAPITAL MANAGEMENT, LP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT CLO C-MOA, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT CLO GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT CLO MANAGEMENT GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT CLO WAREHOUSE II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOUND POINT CO-INVEST GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT CONSUMER CREDIT PAYMENTS I GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT CRE MANAGEMENT, LP | Other investment adviser, including financial planners |
| SOUND POINT CREDIT OPPORTUNITIES GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT DISCOVERY MANAGER, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT EMPLOYEE INVESTMENT (US DL II NON-US RN) LIMITED | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT GLS GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOUND POINT GP PARENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOUND POINT HARBOR FUND GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT LUNA GP HOLDINGS LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOUND POINT LUNA LLC | Other investment adviser, including financial planners |
| SOUND POINT MERIDIAN FUND GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT MERIDIAN MANAGEMENT COMPANY, LLC | Other investment adviser, including financial planners |
| SOUND POINT SENIOR GP II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOUND POINT SENIOR GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT STRATEGIC CAPITAL GP II, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT STRATEGIC CAPITAL GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT TACTICAL LOAN OPPORTUNITY GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT U.S. DIRECT LENDING II (GP) LTD. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT U.S. DIRECT LENDING II (LUX) GP SARL | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT U.S. DIRECT LENDING II GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT U.S. DIRECT LENDING II GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT U.S. DIRECT LENDING III (LUX) GP, SARL | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SOUND POINT U.S. LENDING I GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SP COMMERCIAL FUNDING CAYMAN GP II, LLC | Sponsor or syndicator of limited partnerships |
| SP COMMERCIAL FUNDING CAYMAN GP, LLC | Sponsor or syndicator of limited partnerships |
| SP TECHNOLOGY PAYMENTS I GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SP TECHNOLOGY PAYMENTS II GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SPCRE INPOINT ADVISORS, LLC | Other investment adviser, including financial planners |
| STONE POINT CAPITAL LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RUBERTI, WENDY, LYNNE | Individual | – | GENERAL COUNSEL | 11/2020 | < 5% |
| SOUND POINT CAPITAL MANAGEMENT, LP | Domestic Entity | – | MEMBER | 11/2020 | > 75% |
| MACKINNON, DONALD, JOSEPH | Individual | – | PORTFOLIO MANAGER | 11/2020 | < 5% |
| KETCHUM, STEPHEN, JEROME | Individual | – | CHIEF EXECUTIVE OFFICER | 11/2020 | < 5% |
| GERLITZ, KEVIN, PETER | Individual | – | CHIEF FINANCIAL OFFICER | 11/2020 | < 5% |
| SEELAUS, SARAH, ZELLER | Individual | – | CHIEF OPERATING OFFICER | 11/2020 | < 5% |
| SPC PARTNERS GP, LLC | Domestic Entity | SOUND POINT CAPITAL MANAGEMENT, LP | GENERAL PARTNER | 09/2009 | |
| SPC CONSOLIDATOR LLC | Domestic Entity | SOUND POINT CAPITAL MANAGEMENT, LP | LIMITED PARTNER | 12/2020 | 25-50% |
| AFLAC GI HOLDINGS LLC | Domestic Entity | – | MEMBER | 12/2021 | 5-10% |
| AFLAC INC. | Domestic Entity | AFLAC GI HOLDINGS LLC | MEMBER | 10/2017 | > 75% |
| KETCHUM, STEPHEN, JEROME | Individual | SPC CONSOLIDATOR LLC | MEMBER | 12/2020 | > 75% |
| SAYAGO, ANDREA, J.S. | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2022 | < 5% |
| ASSURED GUARANTY US HOLDINGS INC. | Domestic Entity | SOUND POINT CAPITAL MANAGEMENT, LP | LIMITED PARTNER | 07/2023 | 25-50% |
| ASSURED GUARANTY LTD. | Foreign Entity | ASSURED GUARANTY US HOLDINGS INC. | SHAREHOLDER | 02/2004 | > 75% |