High Pointe Capital Management, LLC (Chicago)

Name: High Pointe Capital Management, LLC
Address: One North Lasalle Street, Chicago, IL, 60602
Telephone: 312-726-2500

High Pointe Capital Management, LLC is a large advisory firm based in Chicago. It manages $113.21 million of regulatory assets for 92 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdiction of Illinois.

High Pointe Capital Management provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

High Pointe Capital Management: assets under management

The assets under management (AUM) of High Pointe Capital Management, LLC is $113.21 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -80% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $113.21 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.23 million each.

High Pointe Capital Management has custody of $15.56 million in cash and securities for 5 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 59% of the total AUM. The second-largest asset type is investment and business development companies, which make up 35% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay High Pointe Capital Management, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients High Pointe Capital Management serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, pooled investment vehicles, and state or municipal government entities. The largest group of clients of High Pointe Capital Management is high net worth individuals with 25 clients and $69.76 million of assets under management. Among the 10 most similar advisory firms, High Pointe Capital Management has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $113.21 million for 33 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

High Pointe Capital Management also advises several private funds. Namely, five hedge funds. The minimum investment commitment required of non-related persons is $250,000 for each fund.

Careers at High Pointe Capital Management, LLC

The company employs 5 people that are either part- or full-time employees. 40 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gautam Dhingra	Director, officer, manager, beneficial owner	1 Dec 1997	75% - 100%	2024885
Ritu C. Dhingra	Director, officer, beneficial owner, chief compliance officer	1 Dec 1997	Other	4482732

Based in Chicago

The principal office where High Pointe Capital Management, LLC performs its advisory services is located at One North Lasalle Street, Chicago, IL 60602, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-726-2500 or by fax 312-726-6100. The normal business hours are 8:30 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at highpointecapital.com.