L
Little Point Capital, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$37,089,383
Clients
3
100% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
3
LowAverage account size
$12,363,128
About
Little Point Capital is a fee-based investment adviser that provides discretionary portfolio management primarily for high-net-worth individuals. The firm manages a very small, concentrated set of client accounts and conducts trades under authority granted by clients to implement its strategies.
Its investment process emphasizes market and technical analysis alongside credit-level research, including review of offering circulars, continuing disclosure and trading history to assess specific credits and portfolio composition. Accounts are managed through client-selected custodians, and the firm recommends a major broker-dealer for execution and reporting while disclosing access to that broker’s proprietary research tools.
Compared with many peers, Little Point Capital focuses on truly high-net-worth relationships rather than serving non‑HNW individual clients and maintains a concentrated client base under active discretionary management. It also does not vote client proxies (clients retain voting responsibility) and reports no affiliations with other financial institutions.
Client services
Portfolio management
Expertise
Active portfolio management
Fee options
0.25% to 0.60% annually (25 to 60 basis points) based on portfolio size and asset type
Fee-only: Fee based only on percentage of NAV; no commissions or other compensation unless disclosed
Main office location
Little Point Capital, LLC
Riverside CT, United States
Number of offices
1
Most active in
Little Point Capital, LLC has reported serving >5 clients in these states in the last 12 months.
Connecticut
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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