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SOPHIS INVESTMENTS LLC
CRD 170391File 801-114611
APPROVED
Retail clients
Filing as of Jul 29, 2026
Feed vintage Aug 17, 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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.