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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC

CRD 162143

PETALUMA, CA

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:365c39b8-21e3-5fa4-b1f3-e94a5ffc046e

Data as of Mar 20, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 1
On other graphs: 0
Observed: Jun 1, 2012 to Mar 20, 2018
42 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: $29.0MItem 5.F on the latest filing (2018-03-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $21.1MderivedItem 5.D individuals plus high net worth individuals
Private client share: 73%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 321
Individual clients: 273
SEC number: 801-76773
CRD: 162143
Filings on the tape: 42
First filed: Jun 1, 2012
Latest filed: Mar 20, 2018
Organised: Limited Liability Company, Delaware

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
EAKEN, CHRISTINA, LYNN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2012	Jun 1, 2012	Mar 20, 2018
LEGACY ALLIANCE, INC.	MANAGING MEMBER	E	yes	03/2012	Jun 1, 2012	Mar 20, 2018
PITTS, LYNDA, LOUISE	GRANTOR AND TRUSTEE	F	yes	08/1994	Mar 15, 2018	Mar 20, 2018
PITTS, ROBERT, PRESTON	VICE PRESIDENT OF SALES	Na	yes	09/2017	Jun 1, 2012	Mar 20, 2018
RAM INVESTMENTS TRUST	MAJORITY SHAREHOLDER	D	yes	06/1997	Jun 1, 2012	Mar 20, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
LEGACY MARKETING GROUP, INC.	n/a	n/a	n/a	Y	yes	n/a

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
2017	Mar 15, 2018	$29.0M	$0	2	2	0	n/a	n/a
2016	Mar 27, 2017	$31.7M	$0	30	28	n/a	n/a	n/a
2015	Mar 14, 2016	$26.7M	$0	29	26	n/a	n/a	n/a
2014	Mar 17, 2015	$13.6M	$0	20	18	n/a	n/a	n/a
2013	Mar 17, 2014	$11.7M	$0	17	15	n/a	n/a	n/a
2012	Mar 14, 2013	$433,051	$0	12	9	n/a	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
2017	$29.0M	$31.7M	-8.5%	$13.6M	28.7%	2	30	0	n/a

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
HIGH STREET ASSET MANAGEMENT, LLC	5	Apr 16, 2015	May 4, 2015	HOT SPRINGS, AR	Firm absorbed	Other	83.3%

Relationships

Controls (5)

← PITTS, LYNDA, LOUISEOwnerGRANTOR AND TRUSTEE, ownership code F, individual
Mar 15, 2018 to presentfactForm ADV
← PITTS, ROBERT, PRESTONOwnerVICE PRESIDENT OF SALES, ownership code NA, individual
Jun 1, 2012 to presentfactForm ADV
← EAKEN, CHRISTINA, LYNNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 1, 2012 to presentfactForm ADV
← LEGACY ALLIANCE, INC.OwnerMANAGING MEMBER, ownership code E, domestic entity
Jun 1, 2012 to presentfactForm ADV
← RAM INVESTMENTS TRUSTOwnerMAJORITY SHAREHOLDER, ownership code D, domestic entity
Jun 1, 2012 to presentfactForm ADV

Registered with (28)

← MARILYN MILLER MILLERAdvisorregistration: previous registration
May 20, 2015 to Feb 8, 2018factForm ADV
← STEPHEN ALBERT MORRISAdvisorregistration: previous registration
Feb 27, 2017 to Dec 31, 2017factForm ADV
← WILLIAM JOHN MANBYAdvisorregistration: previous registration
Apr 2, 2014 to Dec 15, 2017factForm ADV
← KEVIN LEE ARSHAMAdvisorregistration: previous registration
Mar 17, 2014 to Dec 1, 2017factForm ADV
← STEVEN MICHAEL DABBSAdvisorregistration: previous registration
Dec 21, 2012 to Nov 28, 2017factForm ADV
← STEPHEN JOSEPH AGRISTAAdvisorregistration: previous registration
Jan 27, 2017 to Nov 10, 2017factForm ADV
← Dean R. SpeckerAdvisorregistration: previous registration
Jan 12, 2017 to Nov 10, 2017factForm ADV
← CHRISTOPHER JOHN CORJAYAdvisorregistration: previous registration
May 1, 2015 to Nov 2, 2017factForm ADV
← RICHARD LEE KAGYAdvisorregistration: previous registration
Apr 17, 2015 to Nov 2, 2017factForm ADV
← RICHARD L ATHAAdvisorregistration: previous registration
Jul 25, 2017 to Sep 20, 2017factForm ADV
← Jeremy Craig MayfieldAdvisorregistration: previous registration
May 5, 2015 to Sep 20, 2017factForm ADV
← Bradley Scott StewartAdvisorregistration: previous registration
Jun 20, 2017 to Sep 20, 2017factForm ADV
← Malissa Marie McNannaAdvisorregistration: previous registration
May 8, 2017 to Sep 20, 2017factForm ADV
← PATRICK DANIEL MUNNERLYNAdvisorregistration: previous registration
Apr 17, 2015 to Jun 7, 2017factForm ADV
← SAMUEL HOWARD ABRAHAMAdvisorregistration: previous registration
Apr 20, 2015 to Jan 4, 2017factForm ADV
← Gerald Ray BarnesAdvisorregistration: previous registration
Nov 28, 2016 to Jan 4, 2017factForm ADV
← DAVID ALLEN BANKSTONAdvisorregistration: previous registration
Apr 21, 2015 to Nov 29, 2016factForm ADV
← BRUCE DOUGLAS BEATYAdvisorregistration: previous registration
Aug 26, 2013 to Dec 16, 2015factForm ADV
← BRIAN DUFORT LOWERYAdvisorregistration: previous registration
May 7, 2015 to Dec 16, 2015factForm ADV
← STEVEN JAMES SANDBERGAdvisorregistration: previous registration
May 4, 2015 to Sep 25, 2015factForm ADV
← Carl EdwardsAdvisorregistration: previous registration
Apr 17, 2015 to Aug 24, 2015factForm ADV
← ANGELA MARIE JAMARAdvisorregistration: previous registration
Jan 22, 2015 to May 15, 2015factForm ADV
← JEROD LUKE BLANDAdvisorregistration: previous registration
Dec 7, 2012 to Jan 7, 2015factForm ADV
← DIANA MAE ATHAAdvisorregistration: previous registration
Mar 16, 2014 to Dec 16, 2014factForm ADV
← PETER SVEND TYCHSENAdvisorregistration: previous registration
Sep 26, 2013 to Aug 6, 2014factForm ADV
← CHRISTOPHER ALAN HAMMONDAdvisorregistration: previous registration
May 28, 2013 to Aug 6, 2014factForm ADV
← JASON M CILLOAdvisorregistration: previous registration
Aug 22, 2013 to May 9, 2014factForm ADV
← JULIE A PRINKEYAdvisorregistration: previous registration
Dec 19, 2012 to Sep 25, 2013factForm ADV

Dated events

Occurred
Jun 1, 2012
First Form ADV filing
Onpointe Advisory And Financial Services, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:365c39b8-21e3-5fa4-b1f3-e94a5ffc046e
First observed: Jun 1, 2012
Last observed: Mar 20, 2018 103 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.

ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC

CRD 162143

PETALUMA, CA

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:365c39b8-21e3-5fa4-b1f3-e94a5ffc046e

Data as of Mar 20, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:59 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

EAKEN, CHRISTINA, LYNN

CHIEF COMPLIANCE OFFICER

yes

03/2012

Jun 1, 2012

Mar 20, 2018

LEGACY ALLIANCE, INC.

MANAGING MEMBER

yes

03/2012

Jun 1, 2012

Mar 20, 2018

PITTS, LYNDA, LOUISE

GRANTOR AND TRUSTEE

yes

08/1994

Mar 15, 2018

Mar 20, 2018

PITTS, ROBERT, PRESTON

VICE PRESIDENT OF SALES

yes

09/2017

Jun 1, 2012

Mar 20, 2018

RAM INVESTMENTS TRUST

MAJORITY SHAREHOLDER

yes

06/1997

Jun 1, 2012

Mar 20, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LEGACY MARKETING GROUP, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 15, 2018

$29.0M

n/a

2016

Mar 27, 2017

$31.7M

n/a

2015

Mar 14, 2016

$26.7M

n/a

2014

Mar 17, 2015

$13.6M

n/a

2013

Mar 17, 2014

$11.7M

n/a

2012

Mar 14, 2013

$433,051

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$29.0M

$31.7M

-8.5%

$13.6M

28.7%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

HIGH STREET ASSET MANAGEMENT, LLC

Apr 16, 2015

May 4, 2015

HOT SPRINGS, AR

Firm absorbed

Other

83.3%