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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM under $100M

STONECASTLE ASSET MANAGEMENT, LLC

CRD 166252

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:85bd775a-8847-1ff0-7b60-4cc0386a6ac4

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Nov 29, 2012 to Mar 31, 2026
22 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=true bd_reps=1.0
Regulatory AUM: $7.5MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
SEC number: 801-77433
CRD: 166252
Filings on the tape: 22
First filed: Nov 29, 2012
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, DE
Website: scpdevco.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CHARLESBANK EQUITY PARTNERS VI, LP	Member	C	yes	09/2009	Nov 29, 2012	May 31, 2024
FARRELL, PATRICK, JOSEPH	CHIEF FINANCIAL OFFICER	Na	yes	04/2014	Mar 31, 2015	May 31, 2024
SCHATTEN, RACHEL, NACHAS	CHIEF COMPLIANCE OFFICER	Na	yes	03/2014	Mar 31, 2014	May 31, 2024
SHILOWITZ, GEORGE	Officer	Na	yes	11/2012	Nov 29, 2012	May 31, 2024
SIEGEL, JOSHUA, STUART	Officer	Na	yes	11/2012	Nov 29, 2012	May 31, 2024
SIEGEL, JOSHUA, STUART	MANAGING MEMBER	C	yes	06/2003	Nov 29, 2012	May 31, 2024
STONECASTLE ADVISORY SERVICES, LLC	SOLE MEMBER	E	yes	06/2018	Jun 12, 2018	May 31, 2024
STONECASTLE PARTNERS, LLC	SOLE MEMBER	E	yes	06/2018	Nov 29, 2012	May 31, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
STONECASTLE ADVISORS, LLC	n/a	Asset manager	$763M	N	yes	n/a
STONECASTLE ADVISORY SERVICES, LLC	n/a	n/a	n/a	Y	yes	n/a
STONECASTLE INVESTMENT MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a
STONECASTLE LOAN MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a
STONECASTLE PARTNERS, LLC	n/a	n/a	n/a	Y	no	n/a
STONECASTLE SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a
STONECASTLE TRUST CO.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$7.5M	$0	6	1	0	n/a	n/a
2024	Mar 31, 2025	$7.5M	$0	9	2	0	n/a	n/a
2023	Mar 30, 2024	$7.5M	$0	9	2	0	n/a	n/a
2022	Mar 31, 2023	$7.5M	$0	5	1	0	n/a	n/a
2021	Mar 31, 2022	n/a	n/a	0	0	0	n/a	n/a
2020	Mar 31, 2021	n/a	n/a	0	0	0	n/a	n/a
2019	Mar 30, 2020	$165M	$165M	9	7	0	n/a	n/a
2018	Mar 29, 2019	$196M	$196M	9	7	1	n/a	n/a
2017	Mar 29, 2018	$170M	$170M	9	7	1	n/a	n/a
2016	Mar 30, 2017	$206M	$206M	9	7	n/a	n/a	n/a
2015	Mar 30, 2016	$193M	$193M	9	7	n/a	n/a	n/a
2014	Mar 31, 2015	$183M	$183M	9	7	n/a	n/a	n/a
2013	Mar 31, 2014	$110M	$110M	9	7	n/a	n/a	n/a
2012	Apr 1, 2013	$0	$0	9	7	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$7.5M	$7.5M	0.0%	$7.5M	0.0%	6	9	0	0

Relationships

Affiliated with (3)

→ STONECASTLE ADVISORS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← STONECASTLE ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← STONECASTLE CASH MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (7)

← FARRELL, PATRICK, JOSEPHOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 31, 2015 to May 31, 2024factForm ADV
← SHILOWITZ, GEORGEOwnerOFFICER, ownership code NA, individual
Nov 29, 2012 to May 31, 2024factForm ADV
← SIEGEL, JOSHUA, STUARTOwnerMANAGING MEMBER, ownership code C, individual
Nov 29, 2012 to May 31, 2024factForm ADV
← SCHATTEN, RACHEL, NACHASOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2014 to May 31, 2024factForm ADV
← CHARLESBANK EQUITY PARTNERS VI, LPOwnerMEMBER, ownership code C, domestic entity
Nov 29, 2012 to May 31, 2024factForm ADV
← STONECASTLE ADVISORY SERVICES, LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Jun 12, 2018 to May 31, 2024factForm ADV
← STONECASTLE PARTNERS, LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Nov 29, 2012 to May 31, 2024factForm ADV

Dated events

Occurred
Nov 29, 2012
First Form ADV filing
Stonecastle Asset Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85bd775a-8847-1ff0-7b60-4cc0386a6ac4
First observed: Nov 29, 2012
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

STONECASTLE ASSET MANAGEMENT, LLC

CRD 166252

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:85bd775a-8847-1ff0-7b60-4cc0386a6ac4

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:30 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHARLESBANK EQUITY PARTNERS VI, LP

Member

yes

09/2009

Nov 29, 2012

May 31, 2024

FARRELL, PATRICK, JOSEPH

CHIEF FINANCIAL OFFICER

yes

04/2014

Mar 31, 2015

May 31, 2024

SCHATTEN, RACHEL, NACHAS

CHIEF COMPLIANCE OFFICER

yes

03/2014

Mar 31, 2014

May 31, 2024

SHILOWITZ, GEORGE

Officer

yes

11/2012

Nov 29, 2012

May 31, 2024

SIEGEL, JOSHUA, STUART

Officer

yes

11/2012

Nov 29, 2012

May 31, 2024

SIEGEL, JOSHUA, STUART

MANAGING MEMBER

yes

06/2003

Nov 29, 2012

May 31, 2024

STONECASTLE ADVISORY SERVICES, LLC

SOLE MEMBER

yes

06/2018

Jun 12, 2018

May 31, 2024

STONECASTLE PARTNERS, LLC

SOLE MEMBER

yes

06/2018

Nov 29, 2012

May 31, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

STONECASTLE ADVISORS, LLC

n/a

Asset manager

$763M

yes

n/a

STONECASTLE ADVISORY SERVICES, LLC

n/a

yes

n/a

STONECASTLE INVESTMENT MANAGEMENT, LLC

n/a

yes

n/a

STONECASTLE LOAN MANAGEMENT, LLC

n/a

yes

n/a

STONECASTLE PARTNERS, LLC

n/a

STONECASTLE SECURITIES, LLC

n/a

yes

n/a

STONECASTLE TRUST CO.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$7.5M

n/a

2024

Mar 31, 2025

$7.5M

n/a

2023

Mar 30, 2024

$7.5M

n/a

2022

Mar 31, 2023

$7.5M

n/a

2021

Mar 31, 2022

n/a

2020

Mar 31, 2021

n/a

2019

Mar 30, 2020

$165M

n/a

2018

Mar 29, 2019

$196M

n/a

2017

Mar 29, 2018

$170M

n/a

2016

Mar 30, 2017

$206M

n/a

2015

Mar 30, 2016

$193M

n/a

2014

Mar 31, 2015

$183M

n/a

2013

Mar 31, 2014

$110M

n/a

2012

Apr 1, 2013

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$7.5M

0.0%

$7.5M

0.0%