FIELDPOINT PRIVATE SECURITIES, LLC

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Fieldpoint Private Securities is based out of Greenwich. Fieldpoint Private Securities is a large advisory firm with 1042 clients and discretionary assets under management (AUM) of $487,845,855 (Form ADV from 2020-03-03). Their last reported 13F filing for Q1 2020 included $259,388,000 in managed 13F securities and a top 10 holdings concentration of 21.41%. Fieldpoint Private Securities's largest holding is S&P Global Inc. (McGraw-Hill Inc.) with shares held of 36,341. Whalewisdom has at least 13 13F filings

Download 13F Summary to Excel Create Email Alert

03/31/2020

13F Sector Allocation Over Time

03/31/2020

13F Activity

  • Market Value $259.388 Million
  • Prior Market Value $341.652 Million
  • New Purchases3 stocks
  • Additional Purchases126 stocks
  • Sold out of398 stocks
  • Reduced holdings in81 stocks
  • Top 10 Holdings % 21.41 %
  • Turnover % [1]:167.08%
  • Turnover Alt % [2]: 16.48 %
  • Time Held Top20:5.90 quarters
  • Time Held Top10:4.00 quarters
  • Time Held All:8.62 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: -8.79%
Performance Last 4 Quarters: 2.12%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

FIELDPOINT PRIVATE SECURITIES LLC
100 FIELD POINT ROAD 2ND FL
GREENWICH CT    06830
Country: United States

Business Phone: 203-682-6550
Fax: 203-682-6563
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: CT
Number of employees: 50
Other Business Activities: broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 1042
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (2),11.D (4),11.D (5),11.E (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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FIELDPOINT PRIVATE SECURITIES, LLC

ownership team - last updated 2020-03-03
Name Title Start Date Direct/Indirect % Ownership

FIELDPOINT PRIVATE SECURITIES, LLC

ownership team - last updated 2019-12-20
Name Title Start Date Direct/Indirect % Ownership
FIELDPOINT PRIVATE BANK & TRUST MEMBER 06/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC OWNER direct 2011-06-01
NOAH, SCOTT IVES CHIEF LEGAL OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
GILDER GAGNON HOWE & CO. LLC CHIEF LEGAL OFFICER direct 2009-06-01
GILDER GAGNON HOWE & CO. LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2009-08-01
GILDER GAGNON HOWE & CO. LLC CHIEF COMPLIANCE OFFICER direct 2009-08-01
FIELDPOINT PRIVATE SECURITIES, LLC CHIEF LEGAL OFFICER direct 2014-04-01
PARK AVENUE SECURITIES LLC SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER BD/RIA direct 2011-10-01
PARK AVENUE SECURITIES LLC CHIEF COMPLIANCE OFFICER direct 2011-10-01
UBS INTERNATIONAL INC. CHIEF LEGAL OFFICER direct 2002-05-01
UBS INTERNATIONAL INC. CHIEF LEGAL OFFICER/DIRECTOR direct 2003-01-01
FIELDPOINT PRIVATE ADVISORS, INC. CHIEF LEGAL OFFICER direct 2013-04-01
DELAURA, CHRISTOPHER JAMES PRESIDENT 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC PRESIDENT direct 2017-01-01
WESTPORT RESOURCES MANAGEMENT INC CHIEF OPERATING OFFICER direct 2013-09-01
JOHNSTON, TIMOTHY EDWARD PRINCIPAL FINANCIAL OFFICER, FINOP 06/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC PRINCIPAL FINANCIAL OFFICER, FINOP direct 2019-06-01
ACHZET, DAVID EDWARD CHIEF COMPLIANCE OFFICER, ROSFP, MUNICIPAL PRINCIPAL 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOURCE CAPITAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2014-01-01
VISION INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-09-01
MAYBERRY, CATHY LOUISE PRINCIPAL OPERATIONS OFFICER 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC DIRECTOR OF OPERATIONS direct 2004-05-01
TULLY, TIMOTHY J CEO/EXECUTIVE CHAIRMAN 10/01/2019 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC CEO/EXECUTIVE CHAIRMAN direct 2019-10-01

FIELDPOINT PRIVATE SECURITIES, LLC

ownership team - last updated 2019-05-16
Name Title Start Date Direct/Indirect % Ownership
KUMMERFELD, HANS LINDSEY ROSFP,CCO,VP EQUITY SALES, MUNICIPAL SECURITIES PRINCIPAL 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC ROSFP,CCO,VP EQUITY SALES, MUNICIPAL SECURITIES PRINCIPAL, AML OFFICER direct 2011-01-01
FIELDPOINT PRIVATE ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2011-12-01
FIELDPOINT PRIVATE BANK & TRUST MEMBER 06/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC OWNER direct 2011-06-01
MATTHEWS, ROBERT SCOTT CHAIRMAN 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC PRESIDENT AND CEO direct 2010-06-01
FIELDPOINT PRIVATE SECURITIES, LLC CHAIRMAN direct 2011-06-01
FIELDPOINT PRIVATE SECURITIES, LLC CHAIRMAN direct 2017-01-01
FIELDPOINT PRIVATE ADVISORS, INC. CHAIRMAN direct 2011-05-01
GLOBAL HEDGE STRATEGIES, LLC DIRECTOR direct 2006-07-01
NOAH, SCOTT IVES CHIEF LEGAL OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
GILDER GAGNON HOWE & CO. LLC CHIEF LEGAL OFFICER direct 2009-06-01
GILDER GAGNON HOWE & CO. LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2009-08-01
GILDER GAGNON HOWE & CO. LLC CHIEF COMPLIANCE OFFICER direct 2009-08-01
FIELDPOINT PRIVATE SECURITIES, LLC CHIEF LEGAL OFFICER direct 2014-04-01
PARK AVENUE SECURITIES LLC SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER BD/RIA direct 2011-10-01
PARK AVENUE SECURITIES LLC CHIEF COMPLIANCE OFFICER direct 2011-10-01
UBS INTERNATIONAL INC. CHIEF LEGAL OFFICER direct 2002-05-01
UBS INTERNATIONAL INC. CHIEF LEGAL OFFICER/DIRECTOR direct 2003-01-01
FIELDPOINT PRIVATE ADVISORS, INC. CHIEF LEGAL OFFICER direct 2013-04-01
DELAURA, CHRISTOPHER JAMES PRESIDENT 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC PRESIDENT direct 2017-01-01
WESTPORT RESOURCES MANAGEMENT INC CHIEF OPERATING OFFICER direct 2013-09-01
CIANCARELLI, STEPHEN VINCENT FINOP 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC FINOP direct 2017-11-01

FIELDPOINT PRIVATE SECURITIES, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
KUMMERFELD, HANS LINDSEY ROSFP,CCO,VP EQUITY SALES, MUNICIPAL SECURITIES PRINCIPAL 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC ROSFP,CCO,VP EQUITY SALES, MUNICIPAL SECURITIES PRINCIPAL, AML OFFICER direct 2011-01-01
FIELDPOINT PRIVATE ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2011-12-01
FIELDPOINT PRIVATE BANK & TRUST MEMBER 06/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC OWNER direct 2011-06-01
MATTHEWS, ROBERT SCOTT CHAIRMAN 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC PRESIDENT AND CEO direct 2010-06-01
FIELDPOINT PRIVATE SECURITIES, LLC CHAIRMAN direct 2011-06-01
FIELDPOINT PRIVATE SECURITIES, LLC CHAIRMAN direct 2017-01-01
FIELDPOINT PRIVATE ADVISORS, INC. CHAIRMAN direct 2011-05-01
GLOBAL HEDGE STRATEGIES, LLC DIRECTOR direct 2006-07-01
NOAH, SCOTT IVES CHIEF LEGAL OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
GILDER GAGNON HOWE & CO. LLC CHIEF LEGAL OFFICER direct 2009-06-01
GILDER GAGNON HOWE & CO. LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2009-08-01
GILDER GAGNON HOWE & CO. LLC CHIEF COMPLIANCE OFFICER direct 2009-08-01
FIELDPOINT PRIVATE SECURITIES, LLC CHIEF LEGAL OFFICER direct 2014-04-01
PARK AVENUE SECURITIES LLC SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER BD/RIA direct 2011-10-01
PARK AVENUE SECURITIES LLC CHIEF COMPLIANCE OFFICER direct 2011-10-01
UBS INTERNATIONAL INC. CHIEF LEGAL OFFICER direct 2002-05-01
UBS INTERNATIONAL INC. CHIEF LEGAL OFFICER/DIRECTOR direct 2003-01-01
FIELDPOINT PRIVATE ADVISORS, INC. CHIEF LEGAL OFFICER direct 2013-04-01
DELAURA, CHRISTOPHER JAMES PRESIDENT 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC PRESIDENT direct 2017-01-01
WESTPORT RESOURCES MANAGEMENT INC CHIEF OPERATING OFFICER direct 2013-09-01
CIANCARELLI, STEPHEN VINCENT FINOP 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC FINOP direct 2017-11-01

FIELDPOINT PRIVATE SECURITIES, LLC

ownership team - last updated 2017-05-23
Name Title Start Date Direct/Indirect % Ownership
KUMMERFELD, HANS LINDSEY ROSFP,CCO,VP EQUITY SALES, MUNICIPAL SECURITIES PRINCIPAL, AML OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC ROSFP,CCO,VP EQUITY SALES, MUNICIPAL SECURITIES PRINCIPAL, AML OFFICER direct 2011-01-01
FIELDPOINT PRIVATE ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2011-12-01
FIELDPOINT PRIVATE BANK & TRUST OWNER 06/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC OWNER direct 2011-06-01
FULVIO, GENNARO JOHN FINOP 09/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC FINOP direct 2011-09-01
MATTHEWS, ROBERT SCOTT CHAIRMAN 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC PRESIDENT AND CEO direct 2010-06-01
FIELDPOINT PRIVATE SECURITIES, LLC CHAIRMAN direct 2011-06-01
FIELDPOINT PRIVATE SECURITIES, LLC CHAIRMAN direct 2017-01-01
FIELDPOINT PRIVATE ADVISORS, INC. CHAIRMAN direct 2011-05-01
GLOBAL HEDGE STRATEGIES, LLC DIRECTOR direct 2006-07-01
NOAH, SCOTT IVES CHIEF LEGAL OFFICER 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
GILDER GAGNON HOWE & CO. LLC CHIEF LEGAL OFFICER direct 2009-06-01
GILDER GAGNON HOWE & CO. LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2009-08-01
GILDER GAGNON HOWE & CO. LLC CHIEF COMPLIANCE OFFICER direct 2009-08-01
FIELDPOINT PRIVATE SECURITIES, LLC CHIEF LEGAL OFFICER direct 2014-04-01
PARK AVENUE SECURITIES LLC SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER BD/RIA direct 2011-10-01
PARK AVENUE SECURITIES LLC CHIEF COMPLIANCE OFFICER direct 2011-10-01
UBS INTERNATIONAL INC. CHIEF LEGAL OFFICER direct 2002-05-01
UBS INTERNATIONAL INC. CHIEF LEGAL OFFICER/DIRECTOR direct 2003-01-01
FIELDPOINT PRIVATE ADVISORS, INC. CHIEF LEGAL OFFICER direct 2013-04-01
DELAURA, CHRISTOPHER JAMES PRESIDENT 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIELDPOINT PRIVATE SECURITIES, LLC PRESIDENT direct 2017-01-01
WESTPORT RESOURCES MANAGEMENT INC CHIEF OPERATING OFFICER direct 2013-09-01

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