DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Northpointe Capital LLC

Former SEC-registered adviserBloomfield Hills, MichiganCRD 109383SEC 801-57064IAPD
Latest filing Mar 28, 2019
First filing on the tape Mar 21, 2012 · 20 filings
RAUM
$455M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.0%
$4.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$2.0M gross assets
History
20 filings and snapshots on the tape
RAUM$455M as of Mar 28, 2019
Mar 21, 2012$1.0B then
HNW client RAUM$4.6M as of Mar 28, 2019
Mar 29, 2018$13.7M then
State-registered IARs (5.B.3)7 as of Mar 28, 2019
Mar 21, 20120 then
Employees (5.A)11 as of Mar 28, 2019
Mar 25, 201317 then
Private funds1 as of Mar 28, 2019
Mar 21, 20124 then
RAUM -50% over the last fiscal year-18% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 28, 2019; every figure names its basis
RAUM per advisor
$64.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$14.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
80%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-50%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$204M48%
  • State and municipal entities$152M36%
  • Investment companies$43.6M10%
  • Other investment advisers$9.6M2.3%
  • Charitable organizations$6.7M1.6%
  • High-net-worth individuals$4.6M1.1%
Individual clients
n/areported
HNW clients
2reported
Pension plan clients
16reported
Charitable clients
2reported
Accounts
32reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
4 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Npc Alternative Energy Fund LLCPrivate Equity Fund$2.0M38Mar 21, 2012
Npc Micro Cap Value Fund LPOther Private Fund$1.3M5Mar 21, 2012
Npc Small Cap Core Fund LPno longer reportedOther Private Fund$224,7541Mar 21, 2012
Npc Mid Cap Opportunities Fund LPno longer reportedOther Private Fund$73,7682Mar 21, 2012
Owners and control persons
Schedule A and B, latest filing
  • James Peter Cahill · Chief Investment Officercontrol
    since 10/2008 · owns less than 5%
  • Patrick Michael Hayden · Chief Executive Officer/Chief Compliance Officercontrol
    since 10/2007 · owns less than 5%
  • Charles Jeffrey Petherick · Portfolio Managercontrol
    since 10/2007 · owns less than 5%
  • James Peter Cahill · Shareholder/Directorcontrol
    since 10/2007 · owns 25% to 50% of Northpointe Holdings LLC
  • Catherine Mary Champagne · Shareholder/Directorcontrol
    since 10/2007 · owns F of Northpointe Holdings LLC
  • Paul Michael Finkelstein · Shareholder/Directorcontrol
    since 10/2007 · owns F of Northpointe Holdings LLC
  • Patrick Michael Hayden · Shareholder/Directorcontrol
    since 10/2007 · owns 25% to 50% of Northpointe Holdings LLC
  • Charles Jeffrey Petherick · Shareholder/Directorcontrol
    since 10/2007 · owns 25% to 50% of Northpointe Holdings LLC
Entity owners
  • Northpointe Holdings LLC · Parent Company
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • Npc Equity Fund Partners LLC
    pooled vehicle sponsory
  • Npc Fund Partners LLC
    pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 42 to 32
    Jul 26, 2018 to Mar 28, 2019
  • Charity clients · 4 to 2
    Jul 26, 2018 to Mar 28, 2019
  • HNW clients · 3 to 2
    Jul 26, 2018 to Mar 28, 2019
  • Pension plan clients · 22 to 16
    Jul 26, 2018 to Mar 28, 2019
  • Pooled vehicle clients · 1.0 to unset
    Jul 26, 2018 to Mar 28, 2019
  • Financial planning clients · 0 to unset
    Jul 26, 2018 to Mar 28, 2019
  • Private funds · 2 to 1
    Jul 26, 2018 to Mar 28, 2019
  • Discretionary RAUM · $909M to $455M
    Jul 26, 2018 to Mar 28, 2019
  • HNW RAUM · $13.7M to $4.6M
    Jul 26, 2018 to Mar 28, 2019
  • Pension RAUM · $486M to $204M
    Jul 26, 2018 to Mar 28, 2019
  • Pooled vehicle RAUM · 1272089.0 to unset
    Jul 26, 2018 to Mar 28, 2019
  • RAUM · $909M to $455M
    Jul 26, 2018 to Mar 28, 2019
  • Accounts · 44 to 42
    Jul 18, 2017 to Mar 29, 2018
  • BD registered reps · 1 to 2
    Jul 18, 2017 to Mar 29, 2018
  • Charity clients · unset to 4.0
    Jul 18, 2017 to Mar 29, 2018
  • HNW clients · unset to 3.0
    Jul 18, 2017 to Mar 29, 2018
  • Pension plan clients · unset to 22.0
    Jul 18, 2017 to Mar 29, 2018
  • Pooled vehicle clients · unset to 1.0
    Jul 18, 2017 to Mar 29, 2018
  • Employees · 12 to 11
    Jul 18, 2017 to Mar 29, 2018
  • Insurance-licensed employees · 0 to 2
    Jul 18, 2017 to Mar 29, 2018
  • Other offices · unset to 1.0
    Jul 18, 2017 to Mar 29, 2018
  • Discretionary RAUM · $1.0B to $909M
    Jul 18, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 13740650.0
    Jul 18, 2017 to Mar 29, 2018
  • Pension RAUM · unset to 486451130.0
    Jul 18, 2017 to Mar 29, 2018
  • Pooled vehicle RAUM · unset to 1272089.0
    Jul 18, 2017 to Mar 29, 2018
  • RAUM · $1.0B to $909M
    Jul 18, 2017 to Mar 29, 2018
  • Accounts · 37 to 44
    Nov 16, 2016 to Mar 24, 2017
  • BD registered reps · 0 to 1
    Nov 16, 2016 to Mar 24, 2017
  • Employees · 11 to 12
    Nov 16, 2016 to Mar 24, 2017
  • Discretionary RAUM · $822M to $1.0B
    Nov 16, 2016 to Mar 24, 2017
  • RAUM · $822M to $1.0B
    Nov 16, 2016 to Mar 24, 2017
  • Accounts · 36 to 37
    Oct 26, 2015 to Mar 24, 2016
  • Advisory employees · 9 to 7
    Oct 26, 2015 to Mar 24, 2016
  • Employees · 14 to 11
    Oct 26, 2015 to Mar 24, 2016
  • State-registered IARs · 9 to 7
    Oct 26, 2015 to Mar 24, 2016
  • Discretionary RAUM · $880M to $822M
    Oct 26, 2015 to Mar 24, 2016
  • RAUM · $880M to $822M
    Oct 26, 2015 to Mar 24, 2016
  • HQ city · TROY to BLOOMFIELD HILLS
    Mar 30, 2015 to May 18, 2015
  • Accounts · 38 to 36
    Jan 7, 2015 to Mar 30, 2015
  • Employees · 15 to 14
    Jan 7, 2015 to Mar 30, 2015
Signals
1 dated events
  • Northpointe Capital Llc reported RAUM $454.6M, down 50% from $909.1M (2018-07-26 to 2019-03-28)
    Mar 28, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026