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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SUNPOINTE INVESTMENTS

SUNPOINTE, LLC, CRD 282505

ST. LOUIS, MO

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:7107a478-aaa6-3313-ff23-924e307a9fec

Data as of Jul 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 5
On other graphs: 0
Observed: Mar 3, 2020 to Jul 10, 2026
26 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: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $791MItem 5.F on the latest filing (2026-07-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $647M
Private client RAUM: $767MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $71.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 17
Advisory employees: 11
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 1,085
Individual clients: 140
High net worth clients: 169
Custody, client assets: $91.8M
SEC number: 801-118361
CRD: 282505
Filings on the tape: 26
First filed: Mar 3, 2020
Latest filed: Jul 10, 2026
Organised: Limited Liability Company, MO
Website: sunpointeinvestments.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MICHAEL MATTHEW POMPIAN	Certified Financial Planner\|Chartered Financial Analyst	ST. LOUIS, MO	10	38	2	no
JOHN PATRICK DWYER	Chartered Financial Analyst	ST. LOUIS, MO \| CLAYTON, MO	9	20	1	no
LISA SCHIFFER GREEN	n/a	ST. LOUIS, MO \| BRYN MAWR, PA	7	32	2	no
Angela Dowson Pompian	n/a	ST. LOUIS, MO	6	10	n/a	no
Lee Michael Boudouris	n/a	ST. LOUIS, MO	5	11	n/a	no
Matthew J Zeigler	n/a	ST. LOUIS, MO \| WYOMING, PA	3	18	1	no
BENJAMIN DREW TUSCAI	Certified Financial Planner	KING OF PRUSSIA, PA \| ST. LOUIS, MO	3	11	n/a	no
RYAN DOUGLAS HEIDENREICH	Certified Financial Planner	ST. LOUIS, MO	2	17	1	no
ROBERT HENRY MOONEY	n/a	ST. LOUIS, MO	1	31	2	no
KEVIN KALETA	n/a	ST. LOUIS, MO	1	10	n/a	no
KYLE ROBERT NEESE	Chartered Financial Analyst	ST. LOUIS, MO	0	12	1	no

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
POMPIAN, ANGELA	Member	C	yes	06/2020	Mar 3, 2020	Oct 14, 2024
POMPIAN, ANGELA	CHIEF COMPLIANCE OFFICER	Na	yes	01/2018	Mar 3, 2020	Oct 14, 2024
POMPIAN, LLC	Owner	C	yes	06/2020	Jun 18, 2021	Oct 14, 2024
POMPIAN, MICHAEL, MATTHEW	Member	D	yes	06/2020	Mar 3, 2020	Oct 14, 2024
POMPIAN, MICHAEL, MATTHEW	MANAGING PRINCIPAL	Na	yes	01/2016	Mar 3, 2020	Oct 14, 2024
SUNPOINTE FINANCIAL HOLDINGS, LLC	Owner	E	yes	06/2020	Jun 18, 2021	Oct 14, 2024
DWYER, JOHN, PATRICK	MANAGING DIRECTOR	Na	no	05/2017	Mar 3, 2020	Oct 14, 2024

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
SUNPOINTE INSURANCE SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Portsmouth	Nh	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; showing 6 of 7

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 6, 2026	$791M	$647M	17	11	4	n/a	n/a
2024	Apr 29, 2025	$559M	$479M	16	9	4	n/a	n/a
2023	Mar 14, 2024	$369M	$257M	13	8	3	n/a	n/a
2022	Mar 24, 2023	$315M	$208M	12	8	3	n/a	n/a
2021	Mar 16, 2022	$231M	$157M	9	7	1	n/a	n/a
2020	Mar 1, 2021	$140M	$71.0M	6	5	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	9.1%	0	1	0	3	1

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
2025	$791M	$559M	41.4%	$315M	36.0%	17	16	4	4

Relationships

Registered with (14)

← KYLE ROBERT NEESEAdvisorregistration: current employment
Apr 13, 2026 to presentfactForm ADV
← KEVIN KALETAAdvisorregistration: current employment
Jul 24, 2025 to presentfactForm ADV
← ROBERT HENRY MOONEYAdvisorregistration: current employment
Apr 29, 2025 to presentfactForm ADV
← RYAN DOUGLAS HEIDENREICHAdvisorregistration: current employment
Jul 12, 2024 to presentfactForm ADV
← BENJAMIN DREW TUSCAIAdvisorregistration: current employment
Feb 21, 2023 to presentfactForm ADV
← Matthew J ZeiglerAdvisorregistration: current employment
Sep 30, 2022 to presentfactForm ADV
← Lee Michael BoudourisAdvisorregistration: current employment
Mar 11, 2021 to presentfactForm ADV
← Angela Dowson PompianAdvisorregistration: current employment
Oct 19, 2019 to presentfactForm ADV
← LISA SCHIFFER GREENAdvisorregistration: current employment
Jan 11, 2019 to presentfactForm ADV
← JOHN PATRICK DWYERAdvisorregistration: current employment
Apr 11, 2017 to presentfactForm ADV
← MICHAEL MATTHEW POMPIANAdvisorregistration: current employment
Feb 11, 2016 to presentfactForm ADV
← DOUGLAS ANDREW NELSONAdvisorregistration: previous registration
Jun 18, 2021 to Jul 1, 2026factForm ADV
← COREY WILLARD WANGLERAdvisorregistration: previous registration
May 16, 2018 to Jul 5, 2022factForm ADV
← Dennis R HammondAdvisorregistration: previous registration
Apr 12, 2019 to May 13, 2019factForm ADV

Controls (4)

← POMPIAN, MICHAEL, MATTHEWOwnerMEMBER, ownership code D, individual
Mar 3, 2020 to Oct 14, 2024factForm ADV
← POMPIAN, ANGELAOwnerMEMBER, ownership code C, individual
Mar 3, 2020 to Oct 14, 2024factForm ADV
← POMPIAN, LLCOwnerOWNER, ownership code C, domestic entity
Jun 18, 2021 to Oct 14, 2024factForm ADV
← SUNPOINTE FINANCIAL HOLDINGS, LLCOwnerOWNER, ownership code E, domestic entity
Jun 18, 2021 to Oct 14, 2024factForm ADV

Owns (1)

← DWYER, JOHN, PATRICKOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 3, 2020 to Oct 14, 2024factForm ADV

Dated events

Occurred
Jul 1, 2026
Advisor changed firm
Douglas Andrew Nelson left Sunpointe Investments for Rbc Capital Markets, Llc (registered 2026-07-02)
Form ADVobserved 6 days ago
Occurred
Feb 6, 2026
Regulatory AUM changed
Sunpointe Investments reported RAUM $790.7M, up 41% from $559.2M (2025-10-15 to 2026-02-06)
Form ADVobserved 6 days ago
$232M
Occurred
Feb 24, 2025
Regulatory AUM changed
Sunpointe Investments reported RAUM $559.2M, up 52% from $369.1M (2024-10-14 to 2025-02-24)
Form ADVobserved 6 days ago
$190M
Occurred
Jul 5, 2022
Advisor changed firm
Corey Willard Wangler left Sunpointe Investments for Paragon Investing, Llc (registered 2025-01-30)
Form ADVobserved 6 days ago
Occurred
Mar 3, 2020
First Form ADV filing
Sunpointe Investments filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7107a478-aaa6-3313-ff23-924e307a9fec
First observed: Mar 3, 2020
Last observed: Jul 10, 2026 2 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.

SUNPOINTE INVESTMENTS

SUNPOINTE, LLC, CRD 282505

ST. LOUIS, MO

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:7107a478-aaa6-3313-ff23-924e307a9fec

Data as of Jul 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MICHAEL MATTHEW POMPIAN

Certified Financial Planner|Chartered Financial Analyst

ST. LOUIS, MO

JOHN PATRICK DWYER

Chartered Financial Analyst

ST. LOUIS, MO | CLAYTON, MO

LISA SCHIFFER GREEN

n/a

ST. LOUIS, MO | BRYN MAWR, PA

Angela Dowson Pompian

n/a

ST. LOUIS, MO

n/a

Lee Michael Boudouris

n/a

ST. LOUIS, MO

n/a

Matthew J Zeigler

n/a

ST. LOUIS, MO | WYOMING, PA

BENJAMIN DREW TUSCAI

Certified Financial Planner

KING OF PRUSSIA, PA | ST. LOUIS, MO

n/a

RYAN DOUGLAS HEIDENREICH

Certified Financial Planner

ST. LOUIS, MO

ROBERT HENRY MOONEY

n/a

ST. LOUIS, MO

KEVIN KALETA

n/a

ST. LOUIS, MO

n/a

KYLE ROBERT NEESE

Chartered Financial Analyst

ST. LOUIS, MO

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

POMPIAN, ANGELA

Member

yes

06/2020

Mar 3, 2020

Oct 14, 2024

POMPIAN, ANGELA

CHIEF COMPLIANCE OFFICER

yes

01/2018

Mar 3, 2020

Oct 14, 2024

POMPIAN, LLC

Owner

yes

06/2020

Jun 18, 2021

Oct 14, 2024

POMPIAN, MICHAEL, MATTHEW

Member

yes

06/2020

Mar 3, 2020

Oct 14, 2024

POMPIAN, MICHAEL, MATTHEW

MANAGING PRINCIPAL

yes

01/2016

Mar 3, 2020

Oct 14, 2024

SUNPOINTE FINANCIAL HOLDINGS, LLC

Owner

yes

06/2020

Jun 18, 2021

Oct 14, 2024

DWYER, JOHN, PATRICK

MANAGING DIRECTOR

05/2017

Mar 3, 2020

Oct 14, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SUNPOINTE INSURANCE SERVICES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Portsmouth

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 6, 2026

$791M

$647M

n/a

2024

Apr 29, 2025

$559M

$479M

n/a

2023

Mar 14, 2024

$369M

$257M

n/a

2022

Mar 24, 2023

$315M

$208M

n/a

2021

Mar 16, 2022

$231M

$157M

n/a

2020

Mar 1, 2021

$140M

$71.0M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

9.1%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$791M

$559M

41.4%

$315M

36.0%