Asset manager · Stamford, CT
Counterpointe Investment Management LLC
SEC-registered investment adviser · CRD 333864 · SEC 801-132763
At a glance
Counterpointe Investment Management LLC is an SEC-registered investment adviser based in Stamford, Connecticut, with $1.0 billion in regulatory assets under management as of its Form ADV filed September 17, 2026. Its largest client group by assets is insurance companies. By Form ADV it is a asset manager, ranked 1,333rd of 3,218 asset managers and 5,238th of 17,210 SEC-registered advisers by assets.
Main office 855-431-4400As filed on Form ADV
- Regulatory AUM
- $1.0B
- Rank among asset managers
- #1,333 of 3,218
- Rank among all SEC RIAs
- #5,238 of 17,210
- Rank in Connecticut
- #220 of 507
- Clients
- 0
- Accounts
- 2
- Discretionary
- 0% of AUM
- Employees
- 36
- Advisory staff
- 22
- Offices
- 1
Owners and executives on its Form ADV
- Christopher S. McCarthyCCO
- Jon C. HoeffelPresident
- Rebecca A. GorskyGeneral Counsel
- Eric J. AliniCEO
Custody and brokerage
Custodian
- Massachusetts Mutual Life InsuranceAffiliate of the firm$807M
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Insurance companies | – | $1.0B | 100% |
Disciplinary disclosures
Counterpointe Investment Management LLC answers yes to 14 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Counterpointe Investment Management LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 1 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 985 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Counterpointe Investment Management LLC manage?
Counterpointe Investment Management LLC reports $1.0 billion in regulatory assets under management across 2 accounts, on its Form ADV filed September 17, 2026.
What kind of firm is Counterpointe Investment Management LLC?
Counterpointe Investment Management LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Counterpointe Investment Management LLC’s clients?
By assets, its largest client types are insurance companies ($1.0 billion).
Does Counterpointe Investment Management LLC have any disciplinary history?
Counterpointe Investment Management LLC answers yes to 14 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Counterpointe Investment Management LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-17), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →