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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

STRATFORD INVESTMENT ADVISORY GROUP, INC.

STRATFORD INVESTMENT ADVISORY GROUP INC., CRD 111363

MT. PROSPECT, IL

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:bbfc106a-d624-c809-44c6-4e1fd1adf582

Data as of Jun 25, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2012 to Jun 25, 2023
17 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $26.3MItem 5.F on the latest filing (2023-06-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $23.7M
Private client RAUM: $26.3MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $26.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 61
Individual clients: 19
High net worth clients: 42
SEC number: 801-36259
CRD: 111363
Filings on the tape: 17
First filed: Mar 29, 2012
Latest filed: Jun 25, 2023
Organised: Corporation, Illinois

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ARTHUR JOHN BUSBY	n/a	MOUNT PROSPECT, IL	28	36	n/a	no

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
BUSBY, ARTHUR, JOHN	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	01/1990	Mar 29, 2012	Jun 25, 2023

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
2022	Mar 28, 2023	$26.3M	$23.7M	1	1	0	n/a	n/a
2021	Mar 28, 2022	$167M	$43.3M	1	1	0	n/a	n/a
2020	Mar 31, 2021	$171M	$43.2M	1	1	0	n/a	n/a
2019	Mar 30, 2020	$149M	$42.0M	1	1	0	n/a	n/a
2018	Mar 22, 2019	$130M	$38.9M	1	1	0	n/a	n/a
2017	Mar 29, 2018	$132M	$40.1M	1	1	0	n/a	n/a
2016	Mar 29, 2017	$130M	$42.4M	1	1	n/a	n/a	n/a
2015	Mar 30, 2016	$135M	$47.8M	1	1	n/a	n/a	n/a
2014	Mar 30, 2015	$137M	$48.9M	1	1	n/a	n/a	n/a
2013	Mar 31, 2014	$130M	$49.4M	1	1	n/a	n/a	n/a
2012	Mar 28, 2013	$145M	$54.6M	1	1	n/a	n/a	n/a
2011	Mar 29, 2012	$128M	$52.2M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2022	$26.3M	$167M	-84.3%	$149M	-43.9%	1	1	0	0

Relationships

Controls (1)

← BUSBY, ARTHUR, JOHNOwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (1)

← ARTHUR JOHN BUSBYAdvisorregistration: current employment
Mar 9, 1998 to presentfactForm ADV

Dated events

Occurred
Mar 28, 2023
Regulatory AUM changed
Stratford Investment Advisory Group, Inc. reported RAUM $26.3M, down 84% from $167.3M (2022-03-28 to 2023-03-28)
Form ADVobserved 4 days ago
$-141M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bbfc106a-d624-c809-44c6-4e1fd1adf582
First observed: Mar 29, 2012
Last observed: Jun 25, 2023 39 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.

STRATFORD INVESTMENT ADVISORY GROUP, INC.

STRATFORD INVESTMENT ADVISORY GROUP INC., CRD 111363

MT. PROSPECT, IL

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:bbfc106a-d624-c809-44c6-4e1fd1adf582

Data as of Jun 25, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:36 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ARTHUR JOHN BUSBY

n/a

MOUNT PROSPECT, IL

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BUSBY, ARTHUR, JOHN

PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

01/1990

Mar 29, 2012

Jun 25, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 28, 2023

$26.3M

$23.7M

n/a

2021

Mar 28, 2022

$167M

$43.3M

n/a

2020

Mar 31, 2021

$171M

$43.2M

n/a

2019

Mar 30, 2020

$149M

$42.0M

n/a

2018

Mar 22, 2019

$130M

$38.9M

n/a

2017

Mar 29, 2018

$132M

$40.1M

n/a

2016

Mar 29, 2017

$130M

$42.4M

n/a

2015

Mar 30, 2016

$135M

$47.8M

n/a

2014

Mar 30, 2015

$137M

$48.9M

n/a

2013

Mar 31, 2014

$130M

$49.4M

n/a

2012

Mar 28, 2013

$145M

$54.6M

n/a

2011

Mar 29, 2012

$128M

$52.2M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$26.3M

$167M

-84.3%

$149M

-43.9%