DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

WAYPOINT CAPITAL ADVISORS, LLC

CRD 134648

MINNEAPOLIS, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2dedd47d-4946-0dc8-42ef-be571b5b42e6

Data as of Nov 11, 2024 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 12
On other graphs: 0
Observed: Aug 23, 2017 to Nov 11, 2024
23 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $950MItem 5.F on the latest filing (2024-11-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $950M
Private client RAUM: $950MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 8
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 719
Individual clients: 32
High net worth clients: 96
Custody, client assets: $406M
SEC number: 801-111728
CRD: 134648
Filings on the tape: 23
First filed: Aug 23, 2017
Latest filed: Nov 11, 2024
Organised: Limited Liability Company, Minnesota
Website: waypointcapitaladvisors.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BARATTA, DAVID, ALFRED	MANAGING MEMBER/PRINCIPAL	Na	yes	02/2005	Aug 23, 2017	Nov 11, 2024
HUGHES, NANCY, MARIE	MANAGING MEMBER/PRINCIPAL	Na	yes	01/2022	Feb 23, 2022	Nov 11, 2024
KENNEDY, JON, DAVID	MANAGING MEMBER/PRINCIPAL	Na	yes	04/2015	Aug 23, 2017	Nov 11, 2024
MERCER GLOBAL ADVISORS INC.	PARENT COMPANY	E	yes	11/2024	Nov 11, 2024	Nov 11, 2024
PLETTS, MARK, ARTHUR	MANAGING MEMBER/PRINCIPAL/CCO	Na	yes	04/2015	Aug 23, 2017	Nov 11, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Phoenix	Az	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Feb 15, 2024	$950M	$950M	8	8	2	n/a	n/a
2022	Mar 10, 2023	$524M	$524M	8	8	2	n/a	n/a
2021	Feb 23, 2022	$528M	$527M	6	6	2	n/a	n/a
2020	Mar 16, 2021	$362M	$362M	4	4	2	n/a	n/a
2019	Mar 23, 2020	$239M	$236M	4	4	2	n/a	n/a
2018	Mar 21, 2019	$193M	$191M	4	4	3	n/a	n/a
2017	Mar 28, 2018	$147M	$144M	3	3	2	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$950M	$524M	81.1%	$362M	38.0%	8	8	2	2

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERCER GLOBAL ADVISORS INC.	4	Jan 8, 2025	Dec 3, 2024	MINNEAPOLIS, MN	Firm absorbed	RIA to RIA	80.0%

Relationships

Controls (5)

← BARATTA, DAVID, ALFREDOwnerMANAGING MEMBER/PRINCIPAL, ownership code NA, individual
Aug 23, 2017 to presentfactForm ADV
← MERCER GLOBAL ADVISORS INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Nov 11, 2024 to presentfactForm ADV
← PLETTS, MARK, ARTHUROwnerMANAGING MEMBER/PRINCIPAL/CCO, ownership code NA, individual
Aug 23, 2017 to presentfactForm ADV
← HUGHES, NANCY, MARIEOwnerMANAGING MEMBER/PRINCIPAL, ownership code NA, individual
Feb 23, 2022 to presentfactForm ADV
← KENNEDY, JON, DAVIDOwnerMANAGING MEMBER/PRINCIPAL, ownership code NA, individual
Aug 23, 2017 to presentfactForm ADV

Registered with (5)

← DAVID ALFRED BARATTAAdvisorregistration: previous registration
Feb 2, 2006 to Jan 8, 2025factForm ADV
← MARK ARTHUR PLETTSAdvisorregistration: previous registration
May 5, 2015 to Jan 8, 2025factForm ADV
← NANCY MARIE HUGHESAdvisorregistration: previous registration
May 14, 2021 to Jan 8, 2025factForm ADV
← JON DAVID KENNEDYAdvisorregistration: previous registration
May 8, 2015 to Jan 8, 2025factForm ADV
← Madeline Claire LongoAdvisorregistration: previous registration
Apr 18, 2022 to Jan 8, 2025factForm ADV

Moved with (1)

→ MERCER GLOBAL ADVISORS INC.Registered adviser4 advisors, firm absorbed, same day
Jan 8, 2025 to Dec 3, 2024factForm ADV

Dated events

Occurred
Feb 3, 2025
Left the SEC roster
Waypoint Capital Advisors, Llc no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $949.9M)
Form ADVobserved 3 days ago
$950M
Occurred
Jan 8, 2025
Firm absorbed
Waypoint Capital Advisors, LLC's advisors moved to Mercer Global Advisors Inc. (Minneapolis, MN): 4 of 5 registered, on the same day
Form ADVobserved 3 days ago
4 advisors
Occurred
Jan 8, 2025
Advisor changed firm
David Alfred Baratta left Waypoint Capital Advisors, Llc for Mercer Global Advisors Inc. (registered 2025-01-29)
Form ADVobserved 3 days ago
Occurred
Jan 8, 2025
Advisor changed firm
Nancy Marie Hughes left Waypoint Capital Advisors, Llc for Mercer Global Advisors Inc. (registered 2024-11-22)
Form ADVobserved 3 days ago
Occurred
Jan 8, 2025
Advisor changed firm
Madeline Claire Longo left Waypoint Capital Advisors, Llc for Mercer Global Advisors Inc. (registered 2024-11-20)
Form ADVobserved 3 days ago
Occurred
Jan 8, 2025
Advisor changed firm
Mark Arthur Pletts left Waypoint Capital Advisors, Llc for Mercer Global Advisors Inc. (registered 2024-12-03)
Form ADVobserved 3 days ago
Occurred
Jan 8, 2025
Advisor changed firm
Jon David Kennedy left Waypoint Capital Advisors, Llc for Mercer Global Advisors Inc. (registered 2024-11-15)
Form ADVobserved 3 days ago
Occurred
Feb 15, 2024
Regulatory AUM changed
Waypoint Capital Advisors, Llc reported RAUM $949.9M, up 81% from $524.5M (2023-09-22 to 2024-02-15)
Form ADVobserved 3 days ago
$425M
Occurred
Feb 23, 2022
Regulatory AUM changed
Waypoint Capital Advisors, Llc reported RAUM $527.7M, up 46% from $361.6M (2021-10-25 to 2022-02-23)
Form ADVobserved 3 days ago
$166M
Occurred
Feb 23, 2022
Control person joined
Marie Nancy Hughes (Managing Member/Principal) appeared on Schedule A of Waypoint Capital Advisors, Llc
Form ADVobserved 3 days ago
Occurred
Mar 16, 2021
Regulatory AUM changed
Waypoint Capital Advisors, Llc reported RAUM $361.6M, up 51% from $238.9M (2020-06-19 to 2021-03-16)
Form ADVobserved 3 days ago
$123M
Occurred
Aug 23, 2017
First Form ADV filing
Waypoint Capital Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2dedd47d-4946-0dc8-42ef-be571b5b42e6
First observed: Aug 23, 2017
Last observed: Nov 11, 2024 22 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

WAYPOINT CAPITAL ADVISORS, LLC

CRD 134648

MINNEAPOLIS, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2dedd47d-4946-0dc8-42ef-be571b5b42e6

Data as of Nov 11, 2024 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:14 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARATTA, DAVID, ALFRED

MANAGING MEMBER/PRINCIPAL

yes

02/2005

Aug 23, 2017

Nov 11, 2024

HUGHES, NANCY, MARIE

MANAGING MEMBER/PRINCIPAL

yes

01/2022

Feb 23, 2022

Nov 11, 2024

KENNEDY, JON, DAVID

MANAGING MEMBER/PRINCIPAL

yes

04/2015

Aug 23, 2017

Nov 11, 2024

MERCER GLOBAL ADVISORS INC.

PARENT COMPANY

yes

11/2024

Nov 11, 2024

PLETTS, MARK, ARTHUR

MANAGING MEMBER/PRINCIPAL/CCO

yes

04/2015

Aug 23, 2017

Nov 11, 2024

City

State

Country

Employees

Also broker-dealer

Phoenix

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Feb 15, 2024

$950M

n/a

2022

Mar 10, 2023

$524M

n/a

2021

Feb 23, 2022

$528M

$527M

n/a

2020

Mar 16, 2021

$362M

n/a

2019

Mar 23, 2020

$239M

$236M

n/a

2018

Mar 21, 2019

$193M

$191M

n/a

2017

Mar 28, 2018

$147M

$144M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$950M

$524M

81.1%

$362M

38.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERCER GLOBAL ADVISORS INC.

Jan 8, 2025

Dec 3, 2024

MINNEAPOLIS, MN

Firm absorbed

RIA to RIA

80.0%