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 boutique advisory firm that emphasizes equity-centric portfolio management for both individuals and pooled vehicles. The firm runs discretionary and non-discretionary mandates and leans heavily toward exchange-traded instruments to implement equity exposures. Its advisory capability covers individuals and small businesses, pooled investment vehicles, and institutional/business accounts, and it charges clients through a mix of percentage-of-AUM and performance-based fee arrangements. Investment activity shows a clear preference for equities as the primary return engine, supplemented by selected allocations to private market strategies. The firm is not positioned as an ESG-focused manager and maintains a compact, regional operating model rather than a broad national footprint.