SUNPOINTE INVESTMENTS
SUNPOINTE, LLC Legal Name
Adviser information for SUNPOINTE INVESTMENTS last updated from Form ADV on March 14th, 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 | Missouri, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 499 | $256.6M |
| Non-Discretionary | 69 | $112.4M |
| Total | 568 | $369.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 112 | $29.0M |
| HNW Individuals | 75 | $327.8M |
| 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 | <5 | $18,697 |
| Charitable organizations | <5 | $12.3M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 7 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
8301 MARYLAND AVENUESUITE 300
ST. LOUIS
MO
United States
Monday - Friday, 9-5
Tel: (314) 880-0821, Fax: (314) 551-9147
Chief Compliance Officer
ANGELA POMPIAN
OPERATIONS
8301 MARYLAND AVENUE
SUITE 300
ST. LOUIS
MO
United States
Tel:
(314) 880-0821
Fax:
(314) 551-9147
A*****@***********************M
(Full email address available in API data)
Industry Affiliates
| SUNPOINTE INSURANCE SERVICES, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| POMPIAN, MICHAEL, MATTHEW | Individual | – | MANAGING PRINCIPAL | 01/2016 | < 5% |
| DWYER, JOHN, PATRICK | Individual | – | MANAGING DIRECTOR | 05/2017 | < 5% |
| POMPIAN, ANGELA | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2018 | < 5% |
| SUNPOINTE FINANCIAL HOLDINGS, LLC | Domestic Entity | – | OWNER | 06/2020 | > 75% |
| POMPIAN, LLC | Domestic Entity | SUNPOINTE FINANCIAL HOLDINGS, LLC | OWNER | 06/2020 | 25-50% |
| POMPIAN, MICHAEL, MATTHEW | Individual | POMPIAN, LLC | MEMBER | 06/2020 | 50-75% |
| POMPIAN, ANGELA | Individual | POMPIAN, LLC | MEMBER | 06/2020 | 25-50% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 19th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 421K | 4K | 1,3,4,5 |
| ABBVIE INC | COM | 505K | 3K | 1,2,3,4,5 |
| ACCENTURE PLC IRELAND | SHS CLASS A | 225K | 741 | 1,3,4,5 |
| ADOBE INC | COM | 604K | 1K | 1,3,4 |
| ADVANCED MICRO DEVICES INC | COM | 273K | 2K | Canvas / O'Shaughnessy Asset Mangement |
| ALPHABET INC | CAP STK CL A | 3M | 16K | 1,3,4 |
| ALPHABET INC | CAP STK CL C | 2M | 9K | 1,3,4 |
| AMAZON COM INC | COM | 4M | 21K | 1,3,4 |
| AMCOR PLC | ORD | 105K | 11K | 2,4 |
| AMERICAN ELEC PWR CO INC | COM | 230K | 3K | 1,2,4 |
| AMGEN INC | COM | 366K | 1K | 1,2,3,4 |
| APA CORPORATION | COM | 391K | 13K | Canvas / O'Shaughnessy Asset Mangement |
| APPLE INC | COM | 6M | 29K | 1,3,4 |
| APPLIED MATLS INC | COM | 440K | 2K | 1,3,4 |
| ASML HOLDING N V | N Y REGISTRY SHS | 1M | 1K | 1,4 |
| ASTRAZENECA PLC | SPONSORED ADR | 267K | 3K | 1,4,5 |
| AT&T INC | COM | 350K | 18K | 1,2,3,4 |
| ATEA PHARMACEUTICALS INC | COM | 40K | 12K | – |
| AUTOMATIC DATA PROCESSING IN | COM | 544K | 2K | 1,3 |
| BANCO SANTANDER S.A. | ADR | 48K | 10K | Canvas / O'Shaughnessy Asset Mangement |
| BANK AMERICA CORP | COM | 476K | 12K | 1,3 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 863K | 2K | 1,3 |
| BLACKSTONE INC | COM | 1M | 11K | 1,4 |
| BLACKSTONE MTG TR INC | COM CL A | 351K | 19K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 212K | 5K | 1,2,4 |
| BROADCOM INC | COM | 1M | 706 | 1,3,4,5 |
| CAMECO CORP | COM | 684K | 14K | Canvas / O'Shaughnessy Asset Mangement |
| CANADIAN PACIFIC KANSAS CITY | COM | 215K | 3K | 1,3,4 |
| CATERPILLAR INC | COM | 347K | 1K | 1,3,4 |
| CHEVRON CORP NEW | COM | 467K | 3K | 1,2,3,4,5 |
| CISCO SYS INC | COM | 291K | 6K | 1,3 |
| COCA COLA CO | COM | 417K | 6K | 1,2,3,4 |
| COMCAST CORP NEW | CL A | 312K | 8K | 1,3,4 |
| COSTCO WHSL CORP NEW | COM | 609K | 716 | 1,3,4 |
| CROWDSTRIKE HLDGS INC | CL A | 420K | 1K | 1,4 |
| CSX CORP | COM | 403K | 12K | 1,4 |
| CVS HEALTH CORP | COM | 220K | 4K | 1,3,4 |
| DEERE & CO | COM | 246K | 655 | 1,3 |
| DISNEY WALT CO | COM | 488K | 5K | 1,3 |
| DOMINION ENERGY INC | COM | 220K | 4K | 1,2,4 |
| DUKE ENERGY CORP NEW | COM NEW | 312K | 3K | 1,2,3,4 |
| ELI LILLY & CO | COM | 675K | 745 | 1,3,4 |
| ENBRIDGE INC | COM | 292K | 8K | 1,2,4 |
| ETF SER SOLUTIONS | APTUS COLLRD INV | 2M | 66K | – |
| EXXON MOBIL CORP | COM | 876K | 8K | 1,3,4 |
| FIRST HORIZON CORPORATION | COM | 296K | 19K | Canvas / O'Shaughnessy Asset Mangement |
| FIRST TR EXCHANGE TRADED FD | NASDQ CLN EDGE | 689K | 6K | – |
| FREEPORT-MCMORAN INC | CL B | 201K | 4K | 1,3,4 |
| GE AEROSPACE | COM NEW | 250K | 2K | 1,4 |
| GENERAL MTRS CO | COM | 214K | 5K | 1,4 |
| GILEAD SCIENCES INC | COM | 274K | 4K | 1,2,3,4 |
| GOLDMAN SACHS GROUP INC | COM | 225K | 497 | 1,3,4,5 |
| GRAINGER W W INC | COM | 405K | 449 | 1,3,4 |
| HALLIBURTON CO | COM | 334K | 10K | 1,4 |
| HCA HEALTHCARE INC | COM | 305K | 948 | Canvas / O'Shaughnessy Asset Mangement |
| HOME DEPOT INC | COM | 958K | 3K | 1,3,4,5 |
| HONEYWELL INTL INC | COM | 320K | 1K | 1,3,4,5 |
| HUNTINGTON BANCSHARES INC | COM | 178K | 13K | 1,2,3,4 |
| INTUIT | COM | 212K | 323 | 1,3,4 |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 2M | 15K | – |
| INVESCO EXCHANGE TRADED FD T | S&P MDCP MOMNTUM | 331K | 3K | – |
| INVESCO QQQ TR | UNIT SER 1 | 472K | 984 | – |
| ISHARES INC | CORE MSCI EMKT | 1M | 19K | – |
| ISHARES TR | CORE MSCI EAFE | 5M | 63K | – |
| ISHARES TR | CORE S&P TTL STK | 3M | 22K | – |
| ISHARES TR | GLOBAL REIT ETF | 2M | 94K | – |
| ISHARES TR | MSCI LW CRB TG | 2M | 11K | – |
| ISHARES TR | NATIONAL MUN ETF | 1M | 10K | – |
| ISHARES TR | CORE S&P MCP ETF | 664K | 11K | – |
| ISHARES TR | RUS 1000 VAL ETF | 663K | 4K | – |
| ISHARES TR | RUS 1000 GRW ETF | 627K | 2K | – |
| ISHARES TR | CORE S&P SCP ETF | 597K | 6K | – |
| ISHARES TR | S&P MC 400GR ETF | 476K | 5K | – |
| ISHARES TR | GLOBAL ENERG ETF | 385K | 9K | – |
| ISHARES TR | RUS MID CAP ETF | 336K | 4K | – |
| ISHARES TR | ESG AWARE MSCI | 249K | 6K | – |
| ISHARES TR | MSCI EMG MKT ETF | 228K | 5K | – |
| ISHARES TR | RUS 2000 GRW ETF | 223K | 850 | – |
| ISHARES TR | S&P 100 ETF | 211K | 797 | – |
| ITAU UNIBANCO HLDG S A | SPON ADR REP PFD | 65K | 11K | 1,4 |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 1M | 25K | – |
| J P MORGAN EXCHANGE TRADED F | NASDAQ EQT PREM | 1M | 21K | – |
| J P MORGAN EXCHANGE TRADED F | BETABUILDERS CDA | 427K | 7K | – |
| JOHNSON & JOHNSON | COM | 509K | 3K | 1,3 |
| JPMORGAN CHASE & CO. | COM | 1M | 7K | 1,3,4,5 |
| LABCORP HOLDINGS INC | COM SHS | 228K | 1K | Canvas / O'Shaughnessy Asset Mangement |
| LAM RESEARCH CORP | COM | 994K | 931 | Canvas / O'Shaughnessy Asset Mangement |
| LYONDELLBASELL INDUSTRIES N | SHS - A - | 235K | 2K | 1,2,4 |
| MARATHON PETE CORP | COM | 202K | 1K | Canvas / O'Shaughnessy Asset Mangement |
| MASTERCARD INCORPORATED | CL A | 584K | 1K | 1,3,4 |
| MCDONALDS CORP | COM | 621K | 2K | 1,3,4,5 |
| MCKESSON CORP | COM | 661K | 1K | 1,3 |
| MERCK & CO INC | COM | 587K | 5K | 1,3,4,5 |
| META PLATFORMS INC | CL A | 1M | 3K | 1,3,4 |
| MICRON TECHNOLOGY INC | COM | 343K | 3K | 1,3,4 |
| MICROSOFT CORP | COM | 6M | 14K | 1,3,4,5 |
| MITSUBISHI UFJ FINL GROUP IN | SPONSORED ADS | 133K | 12K | Canvas / O'Shaughnessy Asset Mangement |
| MIZUHO FINANCIAL GROUP INC | SPONSORED ADR | 50K | 12K | Canvas / O'Shaughnessy Asset Mangement |
| NATIONAL GRID PLC | SPONSORED ADR NE | 288K | 5K | 1,2,4 |
| NETFLIX INC | COM | 478K | 709 | 1,3,4 |
| NEXTERA ENERGY INC | COM | 415K | 6K | 1,3,4,5 |
| NIKE INC | CL B | 222K | 3K | 1,3 |
| NORFOLK SOUTHN CORP | COM | 331K | 2K | Canvas / O'Shaughnessy Asset Mangement |
| NOVO-NORDISK A S | ADR | 989K | 7K | 1,4 |
| NUSHARES ETF TR | NUVEEN ESG INTL | 221K | 7K | – |
| NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 192K | 15K | – |
| NVIDIA CORPORATION | COM | 6M | 46K | 1,3,4 |
| ONEOK INC NEW | COM | 286K | 4K | 1,3 |
| ORACLE CORP | COM | 698K | 5K | 1,3,4,5 |
| PARKER-HANNIFIN CORP | COM | 639K | 1K | 1,3 |
| PAYCHEX INC | COM | 387K | 3K | 1,3,4 |
| PEPSICO INC | COM | 212K | 1K | 1,3,4,5 |
| PFIZER INC | COM | 229K | 8K | 1,2,3,4 |
| PHILIP MORRIS INTL INC | COM | 464K | 5K | 1,2,3,4 |
| PNC FINL SVCS GROUP INC | COM | 353K | 2K | 1,2,3,4,5 |
| PROCTER AND GAMBLE CO | COM | 462K | 3K | 1,3,4,5 |
| PUTNAM MUN OPPORTUNITIES TR | SH BEN INT | 216K | 21K | – |
| QUALCOMM INC | COM | 218K | 1K | 1,3 |
| REALTY INCOME CORP | COM | 203K | 4K | 1,2,4 |
| REAVES UTIL INCOME FD | COM SH BEN INT | 652K | 24K | – |
| RTX CORPORATION | COM | 245K | 2K | 1,3,4 |
| S&P GLOBAL INC | COM | 222K | 498 | 1,3,4 |
| SALESFORCE INC | COM | 457K | 2K | 1,3,4 |
| SANOFI | SPONSORED ADR | 226K | 5K | 1,2,4 |
| SAP SE | SPON ADR | 445K | 2K | 1,4 |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 26M | 413K | – |
| SCHWAB STRATEGIC TR | INTL EQTY ETF | 244K | 6K | – |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 237K | 4K | – |
| SERVICENOW INC | COM | 263K | 334 | 1,3,4 |
| SOUTHERN CO | COM | 299K | 4K | 1,2,4 |
| SPDR S&P 500 ETF TR | TR UNIT | 945K | 2K | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 371K | 691 | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 1M | 7K | 1,4 |
| TC ENERGY CORP | COM | 202K | 5K | 1,2,4 |
| TESLA INC | COM | 530K | 3K | 1,3,4 |
| THE CIGNA GROUP | COM | 208K | 629 | Canvas / O'Shaughnessy Asset Mangement |
| THERMO FISHER SCIENTIFIC INC | COM | 344K | 621 | 1,3,4 |
| TJX COS INC NEW | COM | 699K | 6K | 1,3,4 |
| TMC THE METALS COMPANY INC | COM | 37K | 27K | – |
| TOTALENERGIES SE | SPONSORED ADS | 399K | 6K | 1,2,4 |
| TOYOTA MOTOR CORP | ADS | 245K | 1K | Canvas / O'Shaughnessy Asset Mangement |
| TRUIST FINL CORP | COM | 238K | 6K | 1,2,3,4 |
| UNION PAC CORP | COM | 696K | 3K | 1,3,4,5 |
| UNITED PARCEL SERVICE INC | CL B | 285K | 2K | 1,2,3,4 |
| UNITEDHEALTH GROUP INC | COM | 1M | 3K | 1,3,4,5 |
| US BANCORP DEL | COM NEW | 269K | 7K | 1,2,3,4 |
| VALERO ENERGY CORP | COM | 539K | 3K | 1,3 |
| VANECK ETF TRUST | MRNGSTR WDE MOAT | 3M | 32K | – |
| VANGUARD ADMIRAL FDS INC | SMLLCP 600 IDX | 372K | 4K | – |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 2M | 25K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 5M | 11K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 3M | 11K | – |
| VANGUARD INDEX FDS | GROWTH ETF | 343K | 916 | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 337K | 4K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 240K | 1K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 449K | 10K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 4M | 21K | – |
| VANGUARD STAR FDS | VG TL INTL STK F | 567K | 9K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 2M | 43K | – |
| VERIZON COMMUNICATIONS INC | COM | 384K | 9K | 1,2,3,4 |
| VISA INC | COM CL A | 1M | 4K | 1,3,4 |
| WALMART INC | COM | 894K | 13K | 1,3 |
| WILLIAMS COS INC | COM | 299K | 7K | 1,2,3,4,5 |
| XCEL ENERGY INC | COM | 202K | 4K | 1,2,4 |