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.
Advisor moves
Arrivals at Pointe Capital Management LLC
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| David Mccormack | J.P. Morgan Securities LLC wirehouse | Pointe Capital Management LLC independent RIA | Wirehouse to independent RIA | Mar 1, 2026 | Mar 31, 2026 |
| Elizabeth Somers Ottaway | Munder Capital Management other | Pointe Capital Management LLC other | Other | Nov 10, 2014 | Feb 3, 2015 (85 d) |
| James Lawrence Carroll | Loomis, Sayles & Company, L.P. other | Pointe Capital Management LLC other | Other | Oct 2, 2013 | Feb 11, 2014 (132 d) |
| Jeffrey Charles Huebner | Morgan Stanley wirehouse | Pointe Capital Management LLC other | Other | Apr 21, 2011 | Dec 2, 2011 (225 d) |
| Paul John Huebner | UBS Financial Services Inc. wirehouse | Pointe Capital Management LLC other | Other | Dec 31, 2007 | Apr 21, 2010 (842 d) |
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5 moves match.