Pointe Capital Management Llc
- Regulatory AUM
- $452M
- Discretionary
- $452M
- Clients
- 188
- Avg AUM / client
- $2.4M
- Accounts
- 451
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 85 | $39.9M | 8.82% |
| High net worth individuals | 89 | $329M | 72.7% |
| Pension and profit sharing plans | 1 | $4.1M | 0.9% |
| Charitable organizations | 5 | $14.5M | 3.2% |
| Corporations and other businesses | 8 | $64.9M | 14.4% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jeffrey Charles Huebner | Managing Member, Chief Compliance Officer | CFA | Apr 2011 (15y) | 75% or more |
| James Lawrence Carroll | Registered representative | CFA | Feb 2014 (12y) | |
| Elizabeth Somers Ottaway | Registered representative | Feb 2015 (11y) | ||
| Heather Stewart Williams | Registered representative | CFA | Jun 2016 (10y) | |
| Carter Kenneth Sales | Registered representative | Oct 2025 (1y) | ||
| David Mc Cormack | Registered representative | Mar 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 901 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Pershing $446M (99% of AUM) Mar 2026
- Comerica Securities,Inc. $5.1M (1% of AUM) Jun 2024
- Charles Schwab & Co. $254K (0% of AUM) Jun 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗