ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC
CRD #162143 SEC #801-76773 PETALUMA, CA 800-395-0045
SEC Registered
Total AUM
$29M
Discretionary
$0
Employees
2
Clients
11
Accounts
321
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 20, 2018
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EAKEN, CHRISTINA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| ERTEL, FRANCIS, DANIEL | I | VICE PRESIDENT OF SALES | NA | Control |
| PITTS, ROBERT, PRESTON | I | PRESIDENT | NA | Control |
| PITTS, ROBERT, PRESTON | I | PRESIDENT | NA | Control |
| PITTS, ROBERT, PRESTON | I | PRESIDENT | NA | Control |
| PITTS, ROBERT, PRESTON | I | PRESIDENT | NA | Control |
| PITTS, ROBERT, PRESTON | I | PRESIDENT | NA | Control |
| PITTS, ROBERT, PRESTON | I | PRESIDENT | NA | Control |
| PITTS, ROBERT, PRESTON | I | PRESIDENT | NA | Control |
| PITTS, ROBERT, PRESTON | I | PRESIDENT | NA | Control |
| PITTS, ROBERT, PRESTON | I | VICE PRESIDENT OF SALES | NA | Control |
| PITTS, ROBERT, PRESTON | I | VICE PRESIDENT OF SALES | NA | Control |
| PITTS, ROBERT, PRESTON | I | VICE PRESIDENT OF SALES | NA | Control |
| PITTS, ROBERT, PRESTON | I | VICE PRESIDENT OF SALES | NA | Control |
| PITTS, ROBERT, PRESTON | I | VICE PRESIDENT OF SALES | NA | Control |
| PITTS, ROBERT, PRESTON | I | VICE PRESIDENT OF SALES | NA | Control |
| PITTS, ROBERT, PRESTON | I | VICE PRESIDENT OF SALES | NA | Control |
| PITTS, ROBERT, PRESTON | I | VICE PRESIDENT OF SALES | NA | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| LEGACY ALLIANCE, INC. | DE | MANAGING MEMBER | E | Control |
| RAM INVESTMENTS TRUST | DE | MAJORITY SHAREHOLDER OF LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | MAJORITY SHAREHOLDER OF LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | MAJORITY SHAREHOLDER OF LEGACY ALLIANCE, INC. | D | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PITTS, LYNDA, LOUISE | I | RAM INVESTMENTS TRUST | F | Control |
| PITTS, LYNDA, LOUISE | I | RAM INVESTMENTS TRUST | F | Control |
| PITTS, LYNDA, LOUISE | I | RAM INVESTMENTS TRUST | F | Control |
| PITTS, LYNDA, LOUISE | I | RAM INVESTMENTS TRUST | F | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
| RAM INVESTMENTS TRUST | DE | LEGACY ALLIANCE, INC. | D | Control |
Registrations
Federal
IA
Mar 20, 2018 REGISTERED
Notice Filings (33)
AL AR AZ CA FL GA IA ID IL IN KS LA MA MI MN MO MS NC NE NH NJ NM NV OH OK OR PA SC TN TX VA WA WI
Address
2090 MARINA AVENUEPETALUMA, CA 94954
United States
Phone: 800-395-0045