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SOPHIS INVESTMENTS LLC
CRD 170391File 801-114611
APPROVED
Retail clients
Filing as of Jul 29, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$129.9M
Bottom 25% of cohort (national)
Discretionary AUM
$89.0M
Non-discretionary $40.9M
Clients
41
78 accounts
Employees
5
Bottom 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Feb 19, 2019
- Principal office
- 230 PARK AVENUE, FL 3, NEW YORK, NY, 10169-0018
- Phone
- 212-572-6360
- Website
- HTTP://WWW.SOPHIS.CO
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $129.9M
- Discretionary AUM
- $89.0M
- Non-discretionary AUM
- $40.9M
- Discretionary accounts
- 67
- Non-discretionary accounts
- 11
- Total accounts
- 78
- AUM per client
- $3.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 2 | $2.9M |
| High net worth individuals | 22 | $123.2M |
| Individuals (other than high net worth individuals) | 17 | $3.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 42 | 41 | decreased by1 |
| Apr 1, 2026 | AUM | $128,501,295 | $129,871,423 | increased by$1,370,128 |
| Apr 1, 2026 | Accounts | 79 | 78 | decreased by1 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 54 | 42 | decreased by12 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $137,569,772 | $128,501,295 | decreased by$9,068,477 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 85 | 79 | decreased by6 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 52 | 54 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $130,716,617 | $137,569,772 | increased by$6,853,155 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 95 | 85 | decreased by10 |
| May 1, 2022 | Clients | 41 | 52 | increased by11 |
| May 1, 2022 | AUM | $106,212,551 | $130,716,617 | increased by$24,504,066 |
| May 1, 2022 | Accounts | 77 | 95 | increased by18 |
| May 1, 2021 | Clients | 27 | 41 | increased by14 |
| May 1, 2021 | AUM | $38,091,974 | $106,212,551 | increased by$68,120,577 |
| May 1, 2021 | Accounts | 52 | 77 | increased by25 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SOPHIS INVESTMENTS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SOPHIS INVESTMENTS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.