Disciplinary Action

The following information was retrieved from the Department's database at 5/13/2026 12:34:48 PM. The information presented reflects the database records at the time of your inquiry; however, it will not reflect pending updates which are being processed by the Department.

Name

NORTHPOINT ASSET MANAGEMENT

Respondent Type

Licensed Entity

License Number

LC635570000

File Number

26F-001

Order Type

Consent Order

Reason

Unlicensed Activity by Unlicensed Person/Entity

Order Date

4/30/2026

Dispositions

Civil Penalty
Provisional License -
Transactions/Documents review-

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