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SOUND POINT LUNA LLC

NEW YORK, NY · CRD 128132 · IAPD ↗ · soundpointcap.com · 212-895-2280

$10.24BRegulatory AUM
35Advisory reps
39Employees
0Clients
n/aPlanning clients
24Private funds
1States
5Disclosures
fundSegment
ApprovedSEC status

Filing changes

40
April 2026 — SOUND POINT LUNA LLC shrank from 40 to 35 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
70
April 2025 — SOUND POINT LUNA LLC grew from 9 to 40 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
40
September 2024 — SOUND POINT LUNA LLC's Item 11 disclosure-reporting entries rose by 3 (2 -> 5).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.