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
Halseypoint Asset Management
Legal name Halseypoint Asset Management, LLC
Latest filing Jul 20, 2026
First filing on the tape Aug 20, 2019 · 13 filings
SEC status approved since Oct 1, 2019
RAUM
$4.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$4.5B as of Jul 20, 2026
Mar 29, 2020$554M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 20, 2026
Mar 29, 20200 then
Employees (5.A)13 as of Jul 20, 2026
Mar 29, 20209 then
Private funds10 as of Jul 20, 2026
Mar 29, 20202 then
RAUM +26% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 20, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $451MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- 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
- Pooled investment vehicles$4.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Halseypoint Clo 3, Ltd. | Other Private Fund | $504M | 1 | Mar 30, 2021 |
| Halseypoint Clo 5, Ltd. | Other Private Fund | $502M | 1 | Mar 29, 2022 |
| Halseypoint Clo 6, Ltd. | Other Private Fund | $502M | 1 | Mar 29, 2023 |
| Halseypoint Clo I, Ltd. | Other Private Fund | $449M | 3 | Nov 5, 2019 |
| Halseypoint Clo 7, Ltd. | Other Private Fund | $432M | 2 | Mar 18, 2024 |
| Halseypoint Clo 4, Ltd. | Other Private Fund | $402M | 1 | Mar 30, 2021 |
| Halseypoint Clo II, Ltd | Other Private Fund | $350M | 3 | Mar 30, 2021 |
| Halseypoint Clo 2, Ltd.no longer reported | Other Private Fund | $85.5M | 1 | Mar 29, 2020 |
Owners and control persons
Schedule A and B, latest filing
- Ann Lynn Hopton · Managing Membercontrolsince 02/2019 · owns less than 5%
- Ellen Yvonne Stevens · Chief Compliance Officer, Managing Membercontrolsince 02/2019 · owns less than 5%
- Roger Andre Desmarais · Trusteecontrolsince 10/2013 · owns F of The Desmarais Family Residuary Trust
- Guy Paul Desmarais · Trusteecontrolsince 10/2013 · owns F of The Desmarais Family Residuary Trust
- Caroline Sophie Desmarais · Trustee, Non-Votingcontrolsince 03/2018 · owns F of The Desmarais Family Residuary Trust
- Albert Gary Doer · Trusteecontrolsince 05/2023 · owns F of The Desmarais Family Residuary Trust
- James Gregory Fleming · Trusteecontrolsince 02/2024 · owns F of The Desmarais Family Residuary Trust
- Ann Lynn Hopton · Managing Membercontrolsince 02/2019 · owns 50% to 75% of Hp Acquisition, LLC
- Ellen Yvonne Stevens · Managing Membercontrolsince 02/2019 · owns 50% to 75% of Hp Acquisition, LLC
Entity owners
- Halseypoint Holdco, LLC · Memberdirect · owns 75% or more
- Hp Acquisition, LLC · Memberindirect · owns 25% to 50% of Halseypoint Holdco, LLC
- Pansolo Holding Inc. · Shareholderindirect · owns 50% to 75% of Power Corporation Of Canada
- Power Corporation Of Canada · Shareholderindirect · owns 75% or more of Sagard Holdings Participation Inc.
- Sagard Capital Partners Management Corp. · Memberindirect · owns 25% to 50% of Halseypoint Holdco, LLC
- Sagard Holdings Inc. · Shareholderindirect · owns 50% to 75% of Sagard Holdings Management Inc.
- Sagard Holdings Management Inc. · Shareholderindirect · owns 75% or more of Sagard Capital Partners Management Corp.
- Sagard Holdings Participation Inc. · Shareholderindirect · owns 75% or more of Sagard Holdings Inc.
- The Desmarais Family Residuary Trust · Shareholderindirect · owns 75% or more of Pansolo Holding Inc.
Related persons
Schedule D 7.A
- Diagram Corporationinvestment advisern
- Sagard Real Estate Advisorsinvestment adviserpooled vehicle sponsornRAUM $1.2B
- Sagard Private Equity Solutionsinvestment advisernRAUM $9.4B
- Sagard Holdings Manager (US) LLCinvestment advisernRAUM $1.4B
- Sagard Holdings Manager LPinvestment advisernRAUM $8.6B
- Sagard Sasinvestment adviserpooled vehicle sponsorn
- The Canada Life Assurance Companyreal estaten
Advisers that list Halseypoint Asset Management as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 10Jan 14, 2026 to Mar 24, 2026
- Pooled vehicle clients · 9 to 10Jan 14, 2026 to Mar 24, 2026
- Employees · 12 to 13Jan 14, 2026 to Mar 24, 2026
- Private funds · 9 to 10Jan 14, 2026 to Mar 24, 2026
- Discretionary RAUM · $3.6B to $4.5BJan 14, 2026 to Mar 24, 2026
- Pooled vehicle RAUM · $3.6B to $4.5BJan 14, 2026 to Mar 24, 2026
- RAUM · $3.6B to $4.5BJan 14, 2026 to Mar 24, 2026
- Financial planning clients · unset to Mar 26, 2025 to Jun 13, 2025
- Accounts · 6 to 9Mar 18, 2024 to Mar 26, 2025
- Pooled vehicle clients · 6 to 9Mar 18, 2024 to Mar 26, 2025
- Private funds · 7 to 9Mar 18, 2024 to Mar 26, 2025
- Discretionary RAUM · $3.1B to $3.6BMar 18, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $3.1B to $3.6BMar 18, 2024 to Mar 26, 2025
- RAUM · $3.1B to $3.6BMar 18, 2024 to Mar 26, 2025
- Accounts · 8 to 6Mar 29, 2023 to Mar 18, 2024
- Private funds · 6 to 7Mar 29, 2023 to Mar 18, 2024
- Discretionary RAUM · $2.6B to $3.1BMar 29, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $2.6B to $3.1BMar 29, 2023 to Mar 18, 2024
- RAUM · $2.6B to $3.1BMar 29, 2023 to Mar 18, 2024
- Related bank · false to trueMar 29, 2023 to Mar 18, 2024
- Accounts · 9 to 8Feb 3, 2023 to Mar 29, 2023
- Advisory employees · 8 to 9Feb 3, 2023 to Mar 29, 2023
- Pooled vehicle clients · 5 to 6Feb 3, 2023 to Mar 29, 2023
- Employees · 10 to 12Feb 3, 2023 to Mar 29, 2023
- Private funds · 5 to 6Feb 3, 2023 to Mar 29, 2023
- Discretionary RAUM · $2.2B to $2.6BFeb 3, 2023 to Mar 29, 2023
- Pooled vehicle RAUM · $2.2B to $2.6BFeb 3, 2023 to Mar 29, 2023
- RAUM · $2.2B to $2.6BFeb 3, 2023 to Mar 29, 2023
- Accounts · 7 to 9Mar 30, 2021 to Mar 29, 2022
- Pooled vehicle clients · 4 to 5Mar 30, 2021 to Mar 29, 2022
- Private funds · 4 to 5Mar 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.4B to $2.2BMar 30, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $1.3B to $2.2BMar 30, 2021 to Mar 29, 2022
- RAUM · $1.4B to $2.2BMar 30, 2021 to Mar 29, 2022
- Related broker-dealer · false to trueMar 30, 2021 to Mar 29, 2022
- Accounts · 2 to 7Mar 29, 2020 to Mar 30, 2021
- Advisory activities · 1 to 2Mar 29, 2020 to Mar 30, 2021
- Pooled vehicle clients · 2 to 4Mar 29, 2020 to Mar 30, 2021
- Employees · 9 to 10Mar 29, 2020 to Mar 30, 2021
- Private funds · 2 to 4Mar 29, 2020 to Mar 30, 2021
Signals
11 dated events
- Halseypoint Asset Management reported RAUM $4.5B, up 26% from $3.6B (2026-01-14 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- James Gregory Fleming (Trustee) appeared on Schedule A of Halseypoint Asset ManagementMar 18, 2024 · Control person joined · fact
- Roger Andre Desmarais (Trustee) appeared on Schedule A of Halseypoint Asset ManagementMar 18, 2024 · Control person joined · fact
- Nmn Kenneth King (Member) no longer on Schedule A of Halseypoint Asset Management (listed 2023-03-29, absent 2024-03-18)Mar 18, 2024 · Control person left · inference
- Guy Paul Desmarais (Trustee) appeared on Schedule A of Halseypoint Asset ManagementMar 18, 2024 · Control person joined · fact
- Caroline Sophie Desmarais (Trustee, Non-Voting) appeared on Schedule A of Halseypoint Asset ManagementMar 18, 2024 · Control person joined · fact
- Albert Gary Doer (Trustee) appeared on Schedule A of Halseypoint Asset ManagementMar 18, 2024 · Control person joined · fact
- Halseypoint Asset Management reported RAUM $2.2B, up 64% from $1.4B (2021-03-30 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Halseypoint Asset Management reported RAUM $1.4B, up 145% from $553.8M (2020-03-29 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Halseypoint Asset Management reported RAUM $553.8M, up 454% from $100.0M (2019-11-05 to 2020-03-29)Mar 29, 2020 · RAUM change · derived
- Halseypoint Asset Management filed its initial SEC registration (Form ADV)Aug 20, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Halseypoint Asset Management · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/halseypoint-asset-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- halseypoint.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 424-220-6440reportedpublic record, Form ADV, Jul 20, 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
- Asset manager (funds and pooled vehicles)deriveda 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