GREAT POINT ADVISORS, LLC
Adviser information for GREAT POINT ADVISORS, LLC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Illinois, United States |
Employees
| Total Number of Employees | 22 |
|---|---|
| Investment Advisory/Research | 20 |
| Registered Broker-Dealer Representatives | 20 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 20 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 88 | $14.6M |
| Total | 88 | $14.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 36 | $7.3M |
| HNW Individuals | 13 | $7.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $96,101 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-118231 |
|---|---|
| SEC ERA File Number | 801-118231 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 307477 |
| Legal Entity Identifier | None |
Principal Office
200 W. JACKSON BLVD. #1000CHICAGO
IL
United States
Monday - Friday, 9-5
Tel: 312-356-4475, Fax: None
Chief Compliance Officer
JONATHAN FRAME
200 W. JACKSON BLVD. #1000
STE A
CHICAGO
IL
United States
Tel:
520-252-0020
J*****@*********M
(Full email address available in API data)
Regulatory Contact
JOHN NEPPEL
MANAGING DIRECTOR
200 W. JACKSON BLVD.
#1000
CHICAGO
IL
United States
Tel:
312-356-4871
J******@*********M
(Full email address available in API data)
Industry Affiliates
| BLACKRIDGE ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
| GREAT POINT CAPITAL LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| I(X) SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| TRUEDGE ASSET MANAGEMENT LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GREAT POINT TRADING LLC | Domestic Entity | – | MEMBER | 01/2020 | > 75% |
| KARNOWSKI, PETER, HENRY | Individual | – | OFFICER | 01/2020 | < 5% |
| NEPPEL, JOHN, PAUL | Individual | – | OFFICER | 01/2020 | < 5% |
| HERRMANN, ARTHUR, EDWARD | Individual | GREAT POINT TRADING LLC | MANAGING MEMBER | 08/2000 | 50-75% |
| MOORE, JOHN, CHRISTIAN | Individual | GREAT POINT TRADING LLC | MANAGING MEMBER | 08/2000 | 50-75% |
| Cummins, Valerie | Individual | – | MANAGING DIRECTOR OF RIA OPERATIONS | 05/2023 | < 5% |
| Frame, Jonathan | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |