Sunpointe, Llc
- Regulatory AUM
- $791M
- Discretionary
- $647M
- Clients
- 309
- Avg AUM / client
- $2.6M
- Accounts
- 1,085
- Employees
- 17
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 10, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 140 | $36.3M | 4.59% |
| High net worth individuals | 169 | $731M | 92.4% |
| Pension and profit sharing plans | Fewer than 5 | $5.1M | 0.64% |
| Charitable organizations | Fewer than 5 | $18.4M | 2.33% |
People (11)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Michael Matthew Pompian | Managing Principal | CFP CFA | Jan 2016 (11y) | ≈ 9.38% – 37.5% via Pompian, Llc |
| John Patrick Dwyer | Managing Director | CFA | Apr 2017 (9y) | Less than 5% |
| Angela Dowson Pompian | Chief Compliance Officer | Jan 2018 (9y) | ≈ 4.69% – 25% via Pompian, Llc | |
| Lisa Schiffer Green | Registered representative | Jan 2019 (8y) | ||
| Lee Michael Boudouris | Registered representative | Mar 2021 (5y) | ||
| Matthew J Zeigler | Registered representative | Sep 2022 (4y) | ||
| Benjamin Drew Tuscai | Registered representative | CFP | Feb 2023 (3y) | |
| Ryan Douglas Heidenreich | Registered representative | CFP | Jul 2024 (2y) | |
| Robert Henry Mooney | Registered representative | Apr 2025 (1y) | ||
| Kevin Kaleta | Registered representative | Jul 2025 (1y) | ||
| Kyle Robert Neese | Registered representative | CFA | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Sunpointe Financial Holdings, Llc | Owner | Jun 2020 | A | 75% or more |
| Pompian, Llc | Owner | Jun 2020 | B | ≈ 18.75% – 50% via Sunpointe Financial Holdings, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Michael Matthew Pompian: 50% – 75% of Pompian, Llc × 25% – 50% of Sunpointe Financial Holdings, Llc × 75% – 100% direct ≈ 9.38% – 37.5% of the firm
- Angela Dowson Pompian: 25% – 50% of Pompian, Llc × 25% – 50% of Sunpointe Financial Holdings, Llc × 75% – 100% direct ≈ 4.69% – 25% of the firm
- Pompian, Llc: 25% – 50% of Sunpointe Financial Holdings, Llc × 75% – 100% direct ≈ 18.75% – 50% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/10/2026 | 1 MB | 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
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $321M (41% of AUM) Jul 2026
- Pershing $321M (41% of AUM) Jul 2026
- BNY Mellon $70.0M (13% of AUM) Oct 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Jul 10, 2026.
View current Form ADV (SEC/IAPD) ↗