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

PRINCETON INVESTMENT ADVISORS, LLC

CRD 171916

HOUSTON, TX

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:c2f6fcf2-bc63-48b3-ed0c-8341a7998345

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Jun 20, 2014 to Mar 30, 2016
6 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: $59.9MItem 5.F on the latest filing (2016-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $59.9M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 4
Accounts: 1
Custody, client assets: $0
SEC number: 801-79979
CRD: 171916
Filings on the tape: 6
First filed: Jun 20, 2014
Latest filed: Mar 30, 2016
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
CANNELLA, GREGORY, JOSEPH	CHIEF FINANCIAL OFFICER	Na	yes	10/2014	Mar 27, 2015	Mar 30, 2016
CAPITAL POINT EQUITY PARTNERS, LLC	Owner	D	yes	06/2014	Jun 20, 2014	Mar 30, 2016
JACKSON, ALFRED	Member	E	yes	08/2013	Jun 20, 2014	Mar 30, 2016
JACKSON, ALFRED	MANAGING PARTNER	Na	yes	07/2014	Jun 20, 2014	Mar 30, 2016
PRINCETON ADVISORY GROUP, INC.	Owner	C	yes	06/2014	Jun 20, 2014	Mar 30, 2016
SHEEHAN, JOY, ANN	CHIEF COMPLIANCE OFFICER	Na	yes	06/2014	Jun 20, 2014	Mar 30, 2016
SOOD, MUNISH	MANAGING PARTNER	Na	yes	07/2014	Jun 20, 2014	Mar 30, 2016
SOOD, MUNISH	CHIEF EXECUTIVE OFFICER	E	yes	11/2002	Jun 20, 2014	Mar 30, 2016

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
CAPITAL POINT ADVISORS, L.P.	n/a	Former SEC adviser	$114M	N	yes	n/a
PRINCETON ADVISORY GROUP, INC.	n/a	Former SEC adviser	$95.4M	N	yes	n/a
PRINCETON ADVISORY WEALTH MANAGEMENT, LLC	n/a	Former SEC adviser	$5.4M	N	yes	n/a
CAPITAL POINT PARTNERS II, LLC	n/a	n/a	n/a	N	yes	n/a
CROSS POINT CAPITAL 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
Kingston	Nj	United States	n/a	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
2015	Mar 30, 2016	$59.9M	$59.9M	7	4	n/a	n/a	n/a
2014	Mar 27, 2015	$0	$0	5	3	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
2015	$59.9M	$0	n/a	n/a	n/a	7	5	n/a	n/a

Relationships

Affiliated with (3)

→ PRINCETON ADVISORY GROUP, INC.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ PRINCETON ADVISORY WEALTH MANAGEMENT, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ CAPITAL POINT ADVISORS, L.P.Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← PRINCETON ADVISORY GROUP, INC.OwnerOWNER, ownership code C, domestic entity
Jun 20, 2014 to presentfactForm ADV
← JACKSON, ALFREDOwnerMEMBER, ownership code E, individual
Jun 20, 2014 to presentfactForm ADV
← SOOD, MUNISHOwnerCHIEF EXECUTIVE OFFICER, ownership code E, individual
Jun 20, 2014 to presentfactForm ADV
← CANNELLA, GREGORY, JOSEPHOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 27, 2015 to presentfactForm ADV
← SHEEHAN, JOY, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 20, 2014 to presentfactForm ADV
← CAPITAL POINT EQUITY PARTNERS, LLCOwnerOWNER, ownership code D, domestic entity
Jun 20, 2014 to presentfactForm ADV

Dated events

Occurred
Jun 20, 2014
First Form ADV filing
Princeton Investment Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c2f6fcf2-bc63-48b3-ed0c-8341a7998345
First observed: Jun 20, 2014
Last observed: Mar 30, 2016 127 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.

PRINCETON INVESTMENT ADVISORS, LLC

CRD 171916

HOUSTON, TX

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:c2f6fcf2-bc63-48b3-ed0c-8341a7998345

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:27 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CANNELLA, GREGORY, JOSEPH

CHIEF FINANCIAL OFFICER

yes

10/2014

Mar 27, 2015

Mar 30, 2016

CAPITAL POINT EQUITY PARTNERS, LLC

Owner

yes

06/2014

Jun 20, 2014

Mar 30, 2016

JACKSON, ALFRED

Member

yes

08/2013

Jun 20, 2014

Mar 30, 2016

JACKSON, ALFRED

MANAGING PARTNER

yes

07/2014

Jun 20, 2014

Mar 30, 2016

PRINCETON ADVISORY GROUP, INC.

Owner

yes

06/2014

Jun 20, 2014

Mar 30, 2016

SHEEHAN, JOY, ANN

CHIEF COMPLIANCE OFFICER

yes

06/2014

Jun 20, 2014

Mar 30, 2016

SOOD, MUNISH

MANAGING PARTNER

yes

07/2014

Jun 20, 2014

Mar 30, 2016

SOOD, MUNISH

CHIEF EXECUTIVE OFFICER

yes

11/2002

Jun 20, 2014

Mar 30, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPITAL POINT ADVISORS, L.P.

n/a

Former SEC adviser

$114M

yes

n/a

PRINCETON ADVISORY GROUP, INC.

n/a

Former SEC adviser

$95.4M

yes

n/a

PRINCETON ADVISORY WEALTH MANAGEMENT, LLC

n/a

Former SEC adviser

$5.4M

yes

n/a

CAPITAL POINT PARTNERS II, LLC

n/a

yes

n/a

CROSS POINT CAPITAL LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Kingston

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

$59.9M

n/a

2014

Mar 27, 2015

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$59.9M

n/a