{ "crd_number": 333864, "slug": "counterpointe-investment-management-llc-stamford-ct-333864", "primary_business_name": "COUNTERPOINTE INVESTMENT MANAGEMENT LLC", "legal_name": "COUNTERPOINTE INVESTMENT MANAGEMENT LLC", "dbas": [], "city": "Stamford", "state": "CT", "country": "United States", "cbsa_code": "14860", "metro": { "cbsa_code": "14860", "common_name": "Bridgeport", "msa_name": "Bridgeport-Stamford-Danbury, CT", "path": "/advisors/ct/bridgeport" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2025-05-13", "years_registered": 1, "period": "2026-10-01", "filing_date": "2026-09-17", "carried_forward": false, "raum_total": 1047740128.0, "raum_discretionary": 0.0, "raum_non_discretionary": 1047740128.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 36, "advisory_employees": 22, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "insurance_companies": { "raum": 1047740128.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "CT" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/333864", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": "STAMFORD", "url": "https://advisorcensus.com/firm/counterpointe-investment-management-llc-stamford-ct-333864", "display_name": "Counterpointe Investment Management LLC", "summary": "Counterpointe Investment Management LLC is an SEC-registered investment advisory firm in Stamford, CT, registered since 2025, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated September 17, 2026.", "citation": "AdvisorCensus. Counterpointe Investment Management LLC (CRD 333864): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Counterpointe Investment Management LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Counterpointe Investment Management LLC reports these compensation arrangements: a percentage of assets under its management." }, { "q": "Where is Counterpointe Investment Management LLC located?", "a": "Counterpointe Investment Management LLC's principal office is in Stamford, CT, according to its Form ADV." }, { "q": "Is Counterpointe Investment Management LLC registered with the SEC or a state?", "a": "Counterpointe Investment Management LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 333864." }, { "q": "How much does Counterpointe Investment Management LLC manage?", "a": "Counterpointe Investment Management LLC reports $1,047,740,128 in regulatory assets under management in its Form ADV filing dated September 17, 2026 (0% discretionary)." }, { "q": "How have Counterpointe Investment Management LLC's assets and staff changed since 2025?", "a": "In the Form ADV data for Counterpointe Investment Management LLC: Total employees: 35 in October 2025 and 36 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "Which custodians does Counterpointe Investment Management LLC use?", "a": "Counterpointe Investment Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Massachusetts Mutual Life Insurance Company (affiliated with the firm) as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Counterpointe Investment Management LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/333864" }, { "q": "Does Counterpointe Investment Management LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated August 5, 2026 says: \"The minimum account size to establish a Separately Managed Account is generally $100,000,000. However, the Firm, in its sole discretion, may accept a lower minimum investment amount from time to time.\"" }, { "q": "What changed in Counterpointe Investment Management LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 20 to 22. Regulatory assets under management went from $683,957,258 to $1,067,740,128 (+56%)." } ], "filing_history": [ { "period": "2025-10-01", "regulatory_assets_under_management": null, "total_employees": 35, "filing_date": "2025-04-10" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1047740128.0, "total_employees": 36, "filing_date": "2026-09-17" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 20 to 22.", "Regulatory assets under management went from $683,957,258 to $1,067,740,128 (+56%)." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Employees performing advisory functions went from 23 to 20." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated August 5, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$100,000,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: $100,000,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "The minimum account size to establish a Separately Managed Account is generally $100,000,000. However, the Firm, in its sole discretion, may accept a lower minimum investment amount from time to time." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 100000000.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "The minimum account size to establish a Separately Managed Account is generally $100,000,000. However, the Firm, in its sole discretion, may accept a lower minimum investment amount from time to time." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Massachusetts Mutual Life Insurance Company", "name_as_filed": "MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY", "affiliated": true } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/counterpointe-investment-management-llc-stamford-ct-333864.md", "clients": [ { "type": "insurance_companies", "label": "Insurance companies", "count": null, "fewer_than_5": true, "raum": 1047740128.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/333864", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }