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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

NORTHPOINTE CAPITAL LLC

CRD 109383

BLOOMFIELD HILLS, MI

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:5bed8969-651d-7fdd-2b72-c924229dc00e

Data as of Mar 28, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 1
On other graphs: 1
Observed: Mar 21, 2012 to Mar 28, 2019
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Northpointe Capital LLC

Private equity manager · shared crd

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: $455MItem 5.F on the latest filing (2019-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $455M
Private client RAUM: $4.6MderivedItem 5.D individuals plus high net worth individuals
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 7
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 32
High net worth clients: 2
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $2.0Mgross asset value as reported per fund; never fund size
SEC number: 801-57064
CRD: 109383
Filings on the tape: 20
First filed: Mar 21, 2012
Latest filed: Mar 28, 2019
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
NPC ALTERNATIVE ENERGY FUND LLC	Private Equity Fund	$2.0M	Mar 28, 2019	38	Mar 21, 2012	reported	n/a
NPC MICRO CAP VALUE FUND LP	Other Private Fund	$1.3M	Jul 26, 2018	5	Mar 21, 2012	reported	n/a
NPC SMALL CAP CORE FUND LP	Other Private Fund	$224,754	Jan 7, 2015	1	Mar 21, 2012	dropped	n/a
NPC MID CAP OPPORTUNITIES FUND LP	Other Private Fund	$73,768	Apr 18, 2012	2	Mar 21, 2012	dropped	n/a

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
CAHILL, PETER, JAMES	SHAREHOLDER/DIRECTOR	C	yes	10/2007	Mar 21, 2012	Mar 28, 2019
CAHILL, PETER, JAMES	CHIEF INVESTMENT OFFICER	Na	yes	10/2008	Mar 21, 2012	Mar 28, 2019
CHAMPAGNE, MARY, CATHERINE	SHAREHOLDER/DIRECTOR	F	yes	10/2007	Mar 21, 2012	Mar 28, 2019
FINKELSTEIN, MICHAEL, PAUL	SHAREHOLDER/DIRECTOR	F	yes	10/2007	Mar 29, 2018	Mar 28, 2019
HAYDEN, MICHAEL, PATRICK	SHAREHOLDER/DIRECTOR	C	yes	10/2007	Mar 21, 2012	Mar 28, 2019
HAYDEN, MICHAEL, PATRICK	CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER	Na	yes	10/2007	Mar 21, 2012	Mar 28, 2019
NORTHPOINTE HOLDINGS LLC	PARENT COMPANY	E	yes	10/2007	Mar 21, 2012	Mar 28, 2019
PETHERICK, JEFFREY, CHARLES	PORTFOLIO MANAGER	Na	yes	10/2007	Mar 21, 2012	Mar 28, 2019
PETHERICK, JEFFREY, CHARLES	SHAREHOLDER/DIRECTOR	C	yes	10/2007	Mar 21, 2012	Mar 28, 2019

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
NPC EQUITY FUND PARTNERS LLC	n/a	n/a	n/a	Y	yes	n/a
NPC FUND PARTNERS LLC	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
2018	Mar 28, 2019	$455M	$455M	11	7	1	1	$2.0M
2017	Mar 29, 2018	$909M	$909M	11	7	1	2	$3.3M
2016	Mar 24, 2017	$1.0B	$1.0B	12	7	n/a	2	$3.4M
2015	Mar 24, 2016	$822M	$822M	11	7	n/a	2	$3.2M
2014	Mar 30, 2015	$880M	$880M	14	9	n/a	2	$3.2M
2013	Mar 24, 2014	$1.2B	$1.2B	15	9	n/a	3	$3.5M
2012	Mar 25, 2013	$864M	$864M	17	10	n/a	3	$2.6M
2011	Mar 21, 2012	$1.0B	$1.0B	n/a	n/a	n/a	4	$2.9M

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
2018	$455M	$909M	-50.0%	$822M	-17.9%	11	11	1	1

Relationships

Advises (4)

→ NPC ALTERNATIVE ENERGY FUND LLCPrivate fundPrivate Equity Fund, IA
Mar 21, 2012 to presentfactForm ADV
→ NPC MICRO CAP VALUE FUND LPPrivate fundOther Private Fund, IA
Mar 21, 2012 to presentfactForm ADV
→ NPC SMALL CAP CORE FUND LPPrivate fundOther Private Fund, IA, no longer reported
Mar 21, 2012 to Jan 7, 2015factForm ADV
→ NPC MID CAP OPPORTUNITIES FUND LPPrivate fundOther Private Fund, IA, no longer reported
Mar 21, 2012 to Apr 18, 2012factForm ADV

Controls (6)

← HAYDEN, MICHAEL, PATRICKOwnerSHAREHOLDER/DIRECTOR, ownership code C, individual
Mar 21, 2012 to presentfactForm ADV
← CAHILL, PETER, JAMESOwnerSHAREHOLDER/DIRECTOR, ownership code C, individual
Mar 21, 2012 to presentfactForm ADV
← CHAMPAGNE, MARY, CATHERINEOwnerSHAREHOLDER/DIRECTOR, ownership code F, individual
Mar 21, 2012 to presentfactForm ADV
← PETHERICK, JEFFREY, CHARLESOwnerSHAREHOLDER/DIRECTOR, ownership code C, individual
Mar 21, 2012 to presentfactForm ADV
← FINKELSTEIN, MICHAEL, PAULOwnerSHAREHOLDER/DIRECTOR, ownership code F, individual
Mar 29, 2018 to presentfactForm ADV
← NORTHPOINTE HOLDINGS LLCOwnerPARENT COMPANY, ownership code E, domestic entity
Mar 21, 2012 to presentfactForm ADV

Registered with (6)

← JEFFREY CHARLES PETHERICKAdvisorregistration: previous registration
Jan 8, 2015 to Dec 31, 2019factForm ADV
← Bryan David FrancoAdvisorregistration: previous registration
Jan 30, 2018 to Dec 31, 2019factForm ADV
← LANCE BARTON JOHNSONAdvisorregistration: previous registration
Nov 14, 2016 to Sep 9, 2019factForm ADV
← MICHAEL PAUL FINKELSTEINAdvisorregistration: previous registration
Jan 8, 2015 to Apr 29, 2019factForm ADV
← KARL LAURENCE KNASAdvisorregistration: previous registration
Jan 8, 2015 to Sep 28, 2015factForm ADV
← SARAH BLISS SCHATTNERAdvisorregistration: previous registration
Apr 21, 2010 to Dec 18, 2012factForm ADV

Dated events

Occurred
Mar 28, 2019
Regulatory AUM changed
Northpointe Capital Llc reported RAUM $454.6M, down 50% from $909.1M (2018-07-26 to 2019-03-28)
Form ADVobserved 4 days ago
$-454M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5bed8969-651d-7fdd-2b72-c924229dc00e
First observed: Mar 21, 2012
Last observed: Mar 28, 2019 91 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.

NORTHPOINTE CAPITAL LLC

CRD 109383

BLOOMFIELD HILLS, MI

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:5bed8969-651d-7fdd-2b72-c924229dc00e

Data as of Mar 28, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:21 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

NPC ALTERNATIVE ENERGY FUND LLC

Private Equity Fund

$2.0M

Mar 28, 2019

Mar 21, 2012

reported

n/a

NPC MICRO CAP VALUE FUND LP

Other Private Fund

$1.3M

Jul 26, 2018

Mar 21, 2012

reported

n/a

NPC SMALL CAP CORE FUND LP

Other Private Fund

$224,754

Jan 7, 2015

Mar 21, 2012

dropped

n/a

NPC MID CAP OPPORTUNITIES FUND LP

Other Private Fund

$73,768

Apr 18, 2012

Mar 21, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CAHILL, PETER, JAMES

SHAREHOLDER/DIRECTOR

yes

10/2007

Mar 21, 2012

Mar 28, 2019

CAHILL, PETER, JAMES

CHIEF INVESTMENT OFFICER

yes

10/2008

Mar 21, 2012

Mar 28, 2019

CHAMPAGNE, MARY, CATHERINE

SHAREHOLDER/DIRECTOR

yes

10/2007

Mar 21, 2012

Mar 28, 2019

FINKELSTEIN, MICHAEL, PAUL

SHAREHOLDER/DIRECTOR

yes

10/2007

Mar 29, 2018

Mar 28, 2019

HAYDEN, MICHAEL, PATRICK

SHAREHOLDER/DIRECTOR

yes

10/2007

Mar 21, 2012

Mar 28, 2019

HAYDEN, MICHAEL, PATRICK

CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER

yes

10/2007

Mar 21, 2012

Mar 28, 2019

NORTHPOINTE HOLDINGS LLC

PARENT COMPANY

yes

10/2007

Mar 21, 2012

Mar 28, 2019

PETHERICK, JEFFREY, CHARLES

PORTFOLIO MANAGER

yes

10/2007

Mar 21, 2012

Mar 28, 2019

PETHERICK, JEFFREY, CHARLES

SHAREHOLDER/DIRECTOR

yes

10/2007

Mar 21, 2012

Mar 28, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NPC EQUITY FUND PARTNERS LLC

n/a

yes

n/a

NPC FUND PARTNERS LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 28, 2019

$455M

$2.0M

2017

Mar 29, 2018

$909M

$3.3M

2016

Mar 24, 2017

$1.0B

n/a

$3.4M

2015

Mar 24, 2016

$822M

n/a

$3.2M

2014

Mar 30, 2015

$880M

n/a

$3.2M

2013

Mar 24, 2014

$1.2B

n/a

$3.5M

2012

Mar 25, 2013

$864M

n/a

$2.6M

2011

Mar 21, 2012

$1.0B

n/a

$2.9M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$455M

$909M

-50.0%

$822M

-17.9%