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COUNTERPOINTE INVESTMENT MANAGEMENT LLC

STAMFORD, CT · CRD 333864 · IAPD ↗ · 855-431-4400

$1.05BRegulatory AUM
22Advisory reps
36Employees
0Clients
n/aPlanning clients
0Private funds
1States
14Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

45
October 2026 — COUNTERPOINTE INVESTMENT MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 2 (12 -> 14).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
April 2026 — COUNTERPOINTE INVESTMENT MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 4 (8 -> 12).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
65
April 2026 — COUNTERPOINTE INVESTMENT MANAGEMENT LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
75
April 2026 — COUNTERPOINTE INVESTMENT MANAGEMENT LLC crossed $1B in regulatory AUM ($684.0M -> $1.07B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
43
December 2025 — COUNTERPOINTE INVESTMENT MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 2 (6 -> 8).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
85
June 2025 — COUNTERPOINTE INVESTMENT MANAGEMENT LLC (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 23 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.