GREAT POINT ADVISORS, LLC

UUID1c6f5d39-522a-530f-b906-d85bd11e7098

TypeASSET_MANAGER

Status—

Created2025-10-23 02:23:54

Updated2025-10-23 02:24:37

SEC Form ADV (XLSX Metrics)

Loads advanced metrics from the monthly IAPD XLSX exports (RAUM breakdown, client mix, service flags) into the adv_metrics table.

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SEC Form ADV Part 1 (Bulk)

Loads Form ADV Part 1 bulk data from the local CSV snapshot. Includes headquarters info, aliases, control persons, and evidence links.

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Authority	Identifier	Display	As Of	Confidence
adv_crd	307477	307477	—	1.0
sec_file_number	801-118231	801-118231	—	—

Website—

HQ CityCHICAGO

HQ StateIL

HQ CountryUnited States

AUM (USD)—

AUM As OfNone

As of 2025-03-27 00:00:00 • Source ia09022025.xlsx

Name	Title	Role	Email	Evidence
Cummins, Valerie	MANAGING DIRECTOR OF RIA OPERATIONS	OFFICER	—	{"filing_id": "2014063", "owner_id": "6203544", "source": "adv_part1", "table": "Schedule_A_B"}
Frame, Jonathan	CHIEF COMPLIANCE OFFICER	OFFICER	—	{"filing_id": "2014063", "owner_id": "3057547", "source": "adv_part1", "table": "Schedule_A_B"}
GREAT POINT TRADING LLC	MEMBER	OFFICER	—	{"filing_id": "2014063", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
HERRMANN, ARTHUR, EDWARD	MANAGING MEMBER	OFFICER	—	{"filing_id": "2014063", "owner_id": "2730737", "source": "adv_part1", "table": "Schedule_A_B"}
KARNOWSKI, PETER, HENRY	OFFICER	OFFICER	—	{"filing_id": "2014063", "owner_id": "2843265", "source": "adv_part1", "table": "Schedule_A_B"}
MOORE, JOHN, CHRISTIAN	MANAGING MEMBER	OFFICER	—	{"filing_id": "2014063", "owner_id": "4348872", "source": "adv_part1", "table": "Schedule_A_B"}
NEPPEL, JOHN, PAUL	OFFICER	OFFICER	—	{"filing_id": "2014063", "owner_id": "5008476", "source": "adv_part1", "table": "Schedule_A_B"}

Relation	Organization	Last Updated	Evidence
No outbound affiliations.

Relation	Organization	Last Updated	Evidence
No inbound affiliations.