Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$129,871,423
Total clients
39
56% high-net worth
Total advisors
5
of 5 employees
Firm size
Team
4-10 advisors or $500M+ in AUM
Average clients per advisor
8
Average account size
$3,330,036
Sophis Investments serves high-net-worth and individual investors, as well as trusts, endowments, foundations, pooled investment vehicles, and corporate clients. The firm provides discretionary portfolio management with tailored advisory services but does not offer comprehensive financial planning.
The firm follows a concentrated, long-equity approach driven by bottom-up fundamental research and an unconstrained investment mandate, typically holding fewer than 20 positions with a low turnover orientation. Its process separates broadly undervalued “general” opportunities from event-driven “special situations,” and it will accept investor-imposed restrictions on separately managed accounts.
Notably, Sophis manages pooled vehicles and accepts performance-based fee arrangements from qualified clients, features that are less common among comparable team firms; it maintains allocation and trade aggregation policies to address side-by-side management conflicts. The firm operates with a small advisory team overseeing roughly $130 million in client assets, recommends institutional custodians for execution and custody, and does not participate in wrap fee programs.
1% to 2% annually depending on client’s investment policy mandate
10% to 20% of net capital increase over an agreed accounting period, typically payable quarterly or annually in arrears; subject to high watermark; offered only to qualified clients with at least $1 million AUM or $2 million net worth
Account minimum: $1,000,000 Fee-only: Annual management fee of 1% to 2% of assets under management, non-negotiable; fees waived for employee and certain family accounts; other waivers at discretion of Adviser
Sophis Investments LLC
250 Park Avenue, 7 Th Floor
New York NY 10177-0799, United States
Number of offices
1
Connecticut · New Jersey · New York
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Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
CFA®, Series 63, Series 65
New York, NY
Sophis Investments LLC
Series 63, Series 66
Greenwich, CT
Sophis Investments LLC
Series 65
Cos Cob, CT
Sophis Investments LLC
Series 63
New York, NY
Sophis Investments LLC
Series 65
Lathrop, CA
Sophis Investments LLC
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