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
Sunpointe Investments
Legal name Sunpointe, LLC
Latest filing Jul 10, 2026
First filing on the tape Mar 3, 2020 · 26 filings
SEC status approved since Apr 1, 2020
RAUM
$791M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
97%
$767M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$71.9M
derived; firm RAUM over IAPD count
Employees
17
11 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$791M as of Jul 10, 2026
Mar 1, 2021$140M then
HNW client RAUM$731M as of Jul 10, 2026
Mar 1, 2021$105M then
State-registered IARs (5.B.3)11 as of Jul 10, 2026
Mar 1, 20215 then
Employees (5.A)17 as of Jul 10, 2026
Mar 1, 20216 then
Private funds: no history
RAUM +41% over the last fiscal year+36% a year over threeIARs 9 to 11
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
- RAUM per advisor
- $71.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $728,783derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +31%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $91.8M, 61 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$731M92%
- Individuals$36.3M4.6%
- Charitable organizations$18.4M2.3%
- Pension and profit-sharing plans$5.1M0.6%
- Individual clients
- 140reported
- HNW clients
- 169reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,085reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $91.8M for 61 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Matthew PompianCertified Financial Planner, Chartered Financial Analyst | St. Louis, Mo | Feb 11, 2016 | 38 y | 2 |
| John Patrick DwyerChartered Financial Analyst | St. Louis, Mo | Apr 11, 2017 | 20 y | 1 |
| Lisa Schiffer Green | St. Louis, Mo | Jan 11, 2019 | 32 y | 2 |
| Angela Dowson Pompian | St. Louis, Mo | Oct 19, 2019 | 10 y | 0 |
| Lee Michael Boudouris | St. Louis, Mo | Mar 11, 2021 | 11 y | 0 |
| Matthew J Zeigler | St. Louis, Mo | Sep 30, 2022 | 18 y | 1 |
| Benjamin Drew TuscaiCertified Financial Planner | King Of Prussia, Pa | Feb 21, 2023 | 11 y | 0 |
| Ryan Douglas HeidenreichCertified Financial Planner | St. Louis, Mo | Jul 12, 2024 | 17 y | 1 |
| Robert Henry Mooney | St. Louis, Mo | Apr 29, 2025 | 31 y | 2 |
| Kevin Kaleta | St. Louis, Mo | Jul 24, 2025 | 10 y | 0 |
| Kyle Robert NeeseChartered Financial Analyst | St. Louis, Mo | Apr 13, 2026 | 12 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 9.1% of current headcount1 left over 36 months
Left, latest
- Douglas Andrew Nelson to RBC Capital Markets, LLCJul 1, 2026 · RIA to affiliated broker-dealer or bank
- Corey Willard Wangler to Paragon Investing, LLCJul 5, 2022 · RIA to RIA
- Dennis R Hammond to First Trust Direct IndexingMay 13, 2019 · RIA to RIA
Joined, latest
- Kyle Robert Neese from Wells Fargo AdvisorsApr 13, 2026 · Wirehouse to independent RIA
- Robert Henry Mooney from UBS Financial Services Inc.Apr 29, 2025 · Wirehouse to independent RIA
- Ryan Douglas Heidenreich from American Century Investments Private Client Group, Inc.Jul 12, 2024 · Affiliated broker-dealer or bank to independent RIA
- Matthew J Zeigler from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 30, 2022 · Wirehouse to independent RIA
- Douglas Andrew Nelson from Wells Fargo AdvisorsJun 18, 2021 · Wirehouse to independent RIA
- Dennis R Hammond from Hammond Associates, D/B/A Mercer Investment ConsultingApr 12, 2019 · Other
- Lisa Schiffer Green from Credit Suisse Securities (USA) LLCJan 11, 2019 · Other
- John Patrick Dwyer from Hammond Associates, D/B/A Mercer Investment ConsultingApr 11, 2017 · Other
- Michael Matthew Pompian from Hammond Associates, D/B/A Mercer Investment ConsultingFeb 11, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Angela Pompian · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- Matthew Michael Pompian · Managing Principalcontrolsince 01/2016 · owns less than 5%
- Angela Pompian · Membercontrolsince 06/2020 · owns 25% to 50% of Pompian, LLC
- Matthew Michael Pompian · Membercontrolsince 06/2020 · owns 50% to 75% of Pompian, LLC
- Patrick John Dwyer · Managing Directorsince 05/2017 · owns less than 5%
Entity owners
- Sunpointe Financial Holdings, LLC · Ownerdirect · owns 75% or more
- Pompian, LLC · Ownerindirect · owns 25% to 50% of Sunpointe Financial Holdings, LLC
Related persons
Schedule D 7.A
- Sunpointe Insurance Services, LLCreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| St Louis, Mo | 11 | 1 | 0 | ||
| Portsmouth, Nh | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Portsmouth, NH1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Feb 6, 2026accounts (Item 5.F.2.f) moved from 719.0 to 1,085.0 (+51.0%) between the annual amendments of 2025-04-29 and 2026-02-06; the peer median change was +6.0% (1256 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 94% percentile
- RAUM up 25 %Change between filings · filing Feb 6, 2026RAUM (Item 5.F) moved from $559,202,794 to $790,729,786 (+41.0%) between the annual amendments of 2025-04-29 and 2026-02-06; the peer median change was +16.0% (1386 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,386) · 91% percentile
What changed
consecutive filings, newest first
- BD registered reps · 1 to 0Feb 6, 2026 to Jul 10, 2026
- Accounts · 719 to 1,085Oct 15, 2025 to Feb 6, 2026
- Advisory employees · 9 to 11Oct 15, 2025 to Feb 6, 2026
- HNW clients · 123 to 169Oct 15, 2025 to Feb 6, 2026
- Individual clients · 113 to 140Oct 15, 2025 to Feb 6, 2026
- Assets in custody · $26.0M to $91.8MOct 15, 2025 to Feb 6, 2026
- Employees · 16 to 17Oct 15, 2025 to Feb 6, 2026
- State-registered IARs · 9 to 11Oct 15, 2025 to Feb 6, 2026
- Discretionary RAUM · $479M to $647MOct 15, 2025 to Feb 6, 2026
- HNW RAUM · $507M to $731MOct 15, 2025 to Feb 6, 2026
- Individual RAUM · $31.1M to $36.3MOct 15, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $80.1M to $144MOct 15, 2025 to Feb 6, 2026
- Pension RAUM · $4.6M to $5.1MOct 15, 2025 to Feb 6, 2026
- RAUM · $559M to $791MOct 15, 2025 to Feb 6, 2026
- Financial planning clients · 26-50 to 26-50Apr 29, 2025 to May 29, 2025
- Accounts · 568 to 719Oct 14, 2024 to Feb 24, 2025
- Advisory employees · 8 to 9Oct 14, 2024 to Feb 24, 2025
- HNW clients · 75 to 123Oct 14, 2024 to Feb 24, 2025
- Individual clients · 112 to 113Oct 14, 2024 to Feb 24, 2025
- Assets in custody · $49.5M to $26.0MOct 14, 2024 to Feb 24, 2025
- Employees · 13 to 16Oct 14, 2024 to Feb 24, 2025
- Financial planning clients · 1-10 to 26-50Oct 14, 2024 to Feb 24, 2025
- State-registered IARs · 8 to 9Oct 14, 2024 to Feb 24, 2025
- Other offices · 3 to 4Oct 14, 2024 to Feb 24, 2025
- Discretionary RAUM · $257M to $479MOct 14, 2024 to Feb 24, 2025
- HNW RAUM · $328M to $507MOct 14, 2024 to Feb 24, 2025
- Individual RAUM · $29.0M to $31.1MOct 14, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $112M to $80.1MOct 14, 2024 to Feb 24, 2025
- Pension RAUM · $18,697 to $4.6MOct 14, 2024 to Feb 24, 2025
- RAUM · $369M to $559MOct 14, 2024 to Feb 24, 2025
- Accounts · 407 to 568Mar 24, 2023 to Mar 14, 2024
- HNW clients · 45 to 75Mar 24, 2023 to Mar 14, 2024
- Individual clients · 62 to 112Mar 24, 2023 to Mar 14, 2024
- Assets in custody · $72.7M to $49.5MMar 24, 2023 to Mar 14, 2024
- Employees · 12 to 13Mar 24, 2023 to Mar 14, 2024
- Discretionary RAUM · $208M to $257MMar 24, 2023 to Mar 14, 2024
- HNW RAUM · $253M to $328MMar 24, 2023 to Mar 14, 2024
- Individual RAUM · $21.6M to $29.0MMar 24, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $107M to $112MMar 24, 2023 to Mar 14, 2024
- Pension RAUM · $29.4M to $18,697Mar 24, 2023 to Mar 14, 2024
Signals
5 dated events
- Douglas Andrew Nelson left Sunpointe Investments for Rbc Capital Markets, Llc (registered 2026-07-02)Jul 1, 2026 · Advisor changed firm · fact
- Sunpointe Investments reported RAUM $790.7M, up 41% from $559.2M (2025-10-15 to 2026-02-06)Feb 6, 2026 · RAUM change · derived
- Sunpointe Investments reported RAUM $559.2M, up 52% from $369.1M (2024-10-14 to 2025-02-24)Feb 24, 2025 · RAUM change · derived
- Corey Willard Wangler left Sunpointe Investments for Paragon Investing, Llc (registered 2025-01-30)Jul 5, 2022 · Advisor changed firm · fact
- Sunpointe Investments filed its initial SEC registration (Form ADV)Mar 3, 2020 · First SEC registration · fact
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
- Firm profile
- linkedin.com/company/sunpointe-investmentsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SUNPOINTEINVESTMENTS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (314) 880-0821reportedpublic record, Form ADV, Jul 10, 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
- $71.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026