Sophis Investments LLC

RIASEC RegisteredEst. 2019

Total AUM

$130M

Discretionary

$89M

68% of AUM

Avg account

$1.7M

Accounts

Employees

Advisory reps

Firm details

Headquarters: New York, New York
CRD number: 170391
Registered since: February 19, 2019
Website: sophis.co
Custodians: PERSHING LLC, CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Performance Based Fees
Client types: HNWI94.84%
Individuals2.9%
Corporations / Businesses2.26%
Services: Portfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Sophis Investments LLC is a privately held limited liability company that registered with the SEC in 2019 and is owned by an individual. The firm serves both individuals and families as well as institutional clients, offering portfolio management across separately managed accounts and pooled investment vehicles. Compensation comes primarily from a percentage-of-AUM fee schedule, with certain engagements subject to performance-based fees. Sophis is not identified as an active ESG investor, does not position itself as a pension consultant or capital allocator, and is not listed as a multi-state adviser despite maintaining a multi-office footprint.