POINTER FINANCIAL ADVISORS LLC
Adviser information for POINTER FINANCIAL ADVISORS LLC last updated from Form ADV on March 21st, 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 | Maryland, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 426 | $111.9M |
| Non-Discretionary | 0 | $0 |
| Total | 426 | $111.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 98 | $39.2M |
| HNW Individuals | 38 | $71.5M |
| 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 | 0 | $0 |
| Other | <5 | $1.2M |
| 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 businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-128061 |
|---|---|
| SEC ERA File Number | 801-128061 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 326745 |
| Legal Entity Identifier | None |
Principal Office
10500 LITTLE PATUXENT PARKWAYSUITE 460
COLUMBIA
MD
United States
Monday - Friday, 9AM - 5PM ET
Tel: 301-804-0250, Fax: None
Chief Compliance Officer
TIMOTHY MUDD
CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CHIEF INVESTMENT OFFICER
10500 LITTLE PATUXENT PARKWAY
SUITE 460
COLUMBIA
MD
United States
Tel:
301-804-0250
T**@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MUDD, TIMOTHY, NICHOLAS | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER & CHIEF COMPLIANCE OFFICER | 06/2023 | > 75% |