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.
SEC-registered adviser
Pointe Capital Management LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 21, 2012 · 32 filings
SEC status approved since Jan 19, 2010
RAUM
$452M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$369M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$75.4M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$452M as of Mar 31, 2026
Mar 21, 2012$290M then
HNW client RAUM$329M as of Mar 31, 2026
Mar 29, 2018$178M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 21, 20120 then
Employees (5.A)6 as of Mar 31, 2026
Apr 1, 20134 then
Private funds: no history
RAUM +3.5% over the last fiscal year+9.3% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $75.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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
- High-net-worth individuals$329M73%
- Corporations and businesses$64.9M14%
- Individuals$39.9M8.8%
- Charitable organizations$14.5M3.2%
- Pension and profit-sharing plans$4.1M0.9%
- Individual clients
- 85reported
- HNW clients
- 89reported
- Pension plan clients
- 1reported
- Charitable clients
- 5reported
- Accounts
- 451reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jeffrey Charles HuebnerChartered Financial Analyst | Grosse Pointe Farms, Mi | Dec 2, 2011 | 21 y | 2 |
| James Lawrence CarrollChartered Financial Analyst | Grosse Pointe Farms, Mi | Feb 11, 2014 | 43 y | 1 |
| Elizabeth Somers Ottaway | Grosse Pointe Farms, Mi | Feb 3, 2015 | 30 y | 1 |
| Heather Stewart WilliamsChartered Financial Analyst | Grosse Pointe Farms, Mi | Jun 8, 2016 | 33 y | 0 |
| Carter Kenneth Sales | Grosse Pointe Farms, Mi | Oct 1, 2025 | 10 y | 0 |
| David Mccormack | Grosse Pointe Farms, Mi | Mar 31, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Paul John Huebner to Park Investments And Consulting LLCApr 12, 2024 · RIA to a state-registered adviser
Joined, latest
- David Mccormack from J.P. Morgan Securities LLCMar 31, 2026 · Wirehouse to independent RIA
- Elizabeth Somers Ottaway from Munder Capital ManagementFeb 3, 2015 · Other
- James Lawrence Carroll from Loomis, Sayles & Company, L.P.Feb 11, 2014 · Other
- Jeffrey Charles Huebner from Morgan StanleyDec 2, 2011 · Other
- Paul John Huebner from UBS Financial Services Inc.Apr 21, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Charles Jeffrey Huebner · Managing Member, Chief Compliance Officercontrolsince 04/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Grosse Pointe Farms, Mi · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 437 to 451Mar 15, 2025 to Mar 31, 2026
- Advisory activities · 3 to 2Mar 15, 2025 to Mar 31, 2026
- Charity clients · 4 to 5Mar 15, 2025 to Mar 31, 2026
- Corporate clients · 10 to 8Mar 15, 2025 to Mar 31, 2026
- HNW clients · 90 to 89Mar 15, 2025 to Mar 31, 2026
- Individual clients · 82 to 85Mar 15, 2025 to Mar 31, 2026
- Discretionary RAUM · $437M to $452MMar 15, 2025 to Mar 31, 2026
- HNW RAUM · $339M to $329MMar 15, 2025 to Mar 31, 2026
- Individual RAUM · $31.8M to $39.9MMar 15, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $329,000 to $0Mar 15, 2025 to Mar 31, 2026
- Pension RAUM · $2.4M to $4.1MMar 15, 2025 to Mar 31, 2026
- RAUM · $437M to $452MMar 15, 2025 to Mar 31, 2026
- Accounts · 434 to 437Jun 21, 2024 to Mar 15, 2025
- HNW clients · 93 to 90Jun 21, 2024 to Mar 15, 2025
- Individual clients · 89 to 82Jun 21, 2024 to Mar 15, 2025
- Financial planning clients · unset to Jun 21, 2024 to Mar 15, 2025
- Discretionary RAUM · $388M to $437MJun 21, 2024 to Mar 15, 2025
- HNW RAUM · $298M to $339MJun 21, 2024 to Mar 15, 2025
- Individual RAUM · $29.0M to $31.8MJun 21, 2024 to Mar 15, 2025
- Non-discretionary RAUM · $304,700 to $329,000Jun 21, 2024 to Mar 15, 2025
- Pension RAUM · $2.0M to $2.4MJun 21, 2024 to Mar 15, 2025
- RAUM · $388M to $437MJun 21, 2024 to Mar 15, 2025
- Advisory employees · 6 to 5Mar 8, 2024 to Apr 12, 2024
- Employees · 7 to 6Mar 8, 2024 to Apr 12, 2024
- State-registered IARs · 6 to 5Mar 8, 2024 to Apr 12, 2024
- Accounts · 411 to 434Mar 27, 2023 to Mar 8, 2024
- Corporate clients · 9 to 10Mar 27, 2023 to Mar 8, 2024
- Individual clients · 80 to 89Mar 27, 2023 to Mar 8, 2024
- Discretionary RAUM · $346M to $388MMar 27, 2023 to Mar 8, 2024
- HNW RAUM · $275M to $298MMar 27, 2023 to Mar 8, 2024
- Individual RAUM · $24.8M to $29.0MMar 27, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $326,000 to $304,700Mar 27, 2023 to Mar 8, 2024
- Pension RAUM · $1.1M to $2.0MMar 27, 2023 to Mar 8, 2024
- RAUM · $346M to $388MMar 27, 2023 to Mar 8, 2024
- Accounts · 428 to 411Mar 28, 2022 to Mar 20, 2023
- Charity clients · 5 to 4Mar 28, 2022 to Mar 20, 2023
- Corporate clients · 11 to 9Mar 28, 2022 to Mar 20, 2023
- HNW clients · 92 to 93Mar 28, 2022 to Mar 20, 2023
- Individual clients · 89 to 80Mar 28, 2022 to Mar 20, 2023
- Pension plan clients · unset to 1.0Mar 28, 2022 to Mar 20, 2023
Signals
4 dated events
- Paul John Huebner left Pointe Capital Management Llc for Park Investments And Consulting Llc (registered 2024-05-13)Apr 12, 2024 · Advisor changed firm · fact
- John Paul Huebner (Chief Compliance Officer, Member) no longer on Schedule A of Pointe Capital Management Llc (listed 2024-03-08, absent 2024-04-12)Apr 12, 2024 · Control person left · inference
- Paul Charles Huebner (Managing Member) no longer on Schedule A of Pointe Capital Management Llc (listed 2022-03-28, absent 2023-03-20)Mar 20, 2023 · Control person left · inference
- Pointe Capital Management Llc reported RAUM $412.9M, up 45% from $284.3M (2021-03-31 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 313-882-7100reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/pointecapitalreportedpublic record, Form ADV, Sep 17, 2026
- Website
- POINTECAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (313) 882-7100reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- pointecapitalmanagement.com/contact-usreportedpublished by the firm, firm site, Sep 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $75.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026