Novapoint Capital Llc
- Regulatory AUM
- $536M
- Discretionary
- $536M
- Clients
- 218
- Avg AUM / client
- $2.5M
- Accounts
- 812
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Investments (13F portfolio — 79 positions, $398,594,784)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Ishares Tr | IBONDS DEC2026 | $15,389,394 | 634,876 | 3.86% | 2.87% |
| 2 | Spdr Series Trust | STATE STREET SPD | $15,290,350 | 199,769 | 3.84% | 2.85% |
| 3 | Apple Inc | COM | $15,144,900 | 59,675 | 3.8% | 2.82% |
| 4 | Nvidia Corporation | COM | $13,255,962 | 76,009 | 3.33% | 2.47% |
| 5 | Spdr Index Shs Fds | STATE STREET SPD | $12,261,456 | 268,597 | 3.08% | 2.29% |
| 6 | Corning Inc | COM | $11,970,128 | 88,035 | 3.0% | 2.23% |
| 7 | Home Depot Inc | COM | $11,497,024 | 34,957 | 2.88% | 2.14% |
| 8 | Microsoft Corp | COM | $11,395,551 | 30,785 | 2.86% | 2.13% |
| 9 | Walmart Inc | COM | $10,542,869 | 84,832 | 2.65% | 1.97% |
| 10 | Goldman Sachs Group Inc | COM | $10,023,601 | 11,848 | 2.51% | 1.87% |
| 11 | Vanguard Index Fds | TOTAL STK MKT | $9,501,142 | 29,616 | 2.38% | 1.77% |
| 12 | Ishares Tr | RUS 1000 GRW ETF | $9,460,246 | 22,186 | 2.37% | 1.76% |
| 13 | Broadcom Inc | COM | $9,302,115 | 30,054 | 2.33% | 1.73% |
| 14 | Amphenol Corp | CL A | $8,227,245 | 65,115 | 2.06% | 1.53% |
| 15 | Berkshire Hathaway Inc Del | CL B NEW | $8,017,974 | 16,732 | 2.01% | 1.5% |
| 16 | Cummins Inc | COM | $7,917,966 | 14,717 | 1.99% | 1.48% |
| 17 | Johnson Johnson | COM | $7,707,402 | 31,531 | 1.93% | 1.44% |
| 18 | Ross Stores Inc | COM | $7,269,434 | 33,557 | 1.82% | 1.36% |
| 19 | Chubb Ltd Switz | COM | $7,073,505 | 21,703 | 1.77% | 1.32% |
| 20 | L3 Harris Technologies Inc | COM | $6,990,650 | 20,254 | 1.75% | 1.3% |
| 21 | Ishares Tr | CORE S P500 ETF | $6,727,442 | 10,299 | 1.69% | 1.25% |
| 22 | International Business Machs | COM | $6,460,109 | 26,652 | 1.62% | 1.2% |
| 23 | Aflac Inc | COM | $6,445,748 | 58,753 | 1.62% | 1.2% |
| 24 | Garmin Ltd | SHS | $6,404,931 | 27,606 | 1.61% | 1.19% |
| 25 | Mastercard Incorporated | CL A | $6,225,146 | 12,459 | 1.56% | 1.16% |
Top 25 of 79 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 147 | $58.8M | 11.0% |
| High net worth individuals | 63 | $217M | 40.5% |
| Pension and profit sharing plans | 1 | $169K | 0.03% |
| Charitable organizations | 1 | $102K | 0.02% |
| Other investment advisers | 4 | $259M | 48.4% |
| Corporations and other businesses | 2 | $454K | 0.08% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Netjets Aviation, Inc. 401(k) Retirement Plan Netjets Aviation, Inc. | 2024 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Alan John Conner | Principal And Chief Compliance Officer | Jan 2015 (12y) | ≈ 37.5% – 75% via The Novapoint Group Llc | |
| Joseph Michael Sroka | Principal | CFA | Jan 2015 (12y) | ≈ 37.5% – 75% via The Novapoint Group Llc |
| Frederick Starr Wright | Registered representative | CFA | May 2019 (7y) | |
| Meghan Elizabeth Hoover | Registered representative | Jun 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| The Novapoint Group Llc | Owner | Apr 2020 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Alan John Conner: 50% – 75% of The Novapoint Group Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
- Joseph Michael Sroka: 50% – 75% of The Novapoint Group Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Netjets Aviation, Inc. 401(k) Retirement Plan | Netjets Aviation, Inc. | 4,042 | $2.5B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 983 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $522M (97% of AUM) Mar 2026
- Comerica Securities,Inc. $19.2M (7% of AUM) Jul 2021
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 27, 2026.
View current Form ADV (SEC/IAPD) ↗