Sof Advisors LLC (New York)

Name: Sof Advisors LLC
Address: 280 Park Avenue, New York, NY, 10017
Telephone: 212-759-0777

Sof Advisors LLC is an investment adviser to an investment company based in New York. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdiction of California.

Sof Advisors provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sof Advisors LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Sof Advisors serves?

The only and largest group of clients of Sof Advisors is investment companies with 1 clients and $0 of assets under management. Among the 4 most similar advisory firms, Sof Advisors has the highest percentage of investment companies out of all clients.

None of the firm’s clients are foreign persons or businesses.

Sof Advisors doesn't advise any private funds.

Careers at Sof Advisors LLC

The company employs 67 people that are either part- or full-time employees. 48 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Brook Bulger Taube joined the executive team most recently as the Trustee.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Seth Bulger Taube	Chief executive officer	1 Jul 2011	Other	2378907
Richard Thomas Allorto	Chief financial officer	1 Jul 2011	Other	5820810
Medley Llc	Managing member	1 Jul 2011	75% - 100%	27-2437343
John Donnan Fredericks	General counsel and chief compliance officer	1 Mar 2014	Other	6312238

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Brook Taube Trust	Member	1 Jul 2011	25% - 50%	xxx-xx-xxxx
Seth And Angie Taube Trust	Member	1 Jul 2011	25% - 50%	xxx-xx-xxxx
Brook Bulger Taube	Trustee	1 Sep 2014	Other	2564596
Seth Bulger Taube	Trustee	1 Sep 2014	Other	2378907
Medley Management Inc.	Managing member	1 Sep 2014	Other	47-1130638

Based in New York

The principal office where Sof Advisors LLC performs its advisory services is located at 280 Park Avenue, New York, NY 10017, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-759-0777 or by fax 212-759-0091. The normal business hours are 9:00 am - 5:00 pm et on Monday - Friday. You can find more information about the New York firm at mdly.com.