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

A.L. STUART INVESTMENTS, LLC

CRD 158974

STAMFORD, CT

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:bdd03f7f-2097-b768-08ce-4b4a435ee416

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 1
Observed: Feb 17, 2012 to Mar 29, 2018
13 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

A.L. Stuart Investments, LLC

Capital provider to sponsors · shared crd

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: $91.9MItem 5.F on the latest filing (2018-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $75.7M
Private client RAUM: $29.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 32%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 57
High net worth clients: 17
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $40.2Mgross asset value as reported per fund; never fund size
Custody, client assets: $165,829
SEC number: 801-72813
CRD: 158974
Filings on the tape: 13
First filed: Feb 17, 2012
Latest filed: Mar 29, 2018
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
STUART FAMILY FUND, LLC	Other Private Fund	$35.2M	Mar 28, 2024	38	Feb 17, 2012	reported	021-131889

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
A.L. STUART FINANCIAL SERVICES, LLC	MANAGING MEMBER	E	yes	08/2011	Mar 27, 2013	Mar 29, 2018
LUBIN, RONDA, HALPERIN	CHIEF COMPLIANCE OFFICER	Na	yes	08/2011	Feb 17, 2012	Mar 29, 2018
STUART, ALAN, LINCOLN	MANAGING MEMBER	D	yes	08/2011	Feb 17, 2012	Mar 29, 2018
STUART, ALAN, LINCOLN	CHIEF EXECUTIVE OFFICER	Na	yes	08/2011	Feb 17, 2012	Mar 29, 2018

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
A.L. STUART & CO., LLC	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
2017	Mar 29, 2018	$91.9M	$75.7M	8	3	0	1	$40.2M
2016	Mar 22, 2017	$106M	$85.6M	8	3	n/a	1	$37.3M
2015	Mar 11, 2016	$151M	$99.1M	7	3	n/a	1	$38.9M
2014	Mar 27, 2015	$175M	$137M	7	3	n/a	1	$38.3M
2013	Mar 27, 2014	$202M	$163M	6	2	n/a	1	$42.7M
2012	Mar 27, 2013	$191M	$145M	5	1	n/a	1	$61.4M
2011	Feb 17, 2012	$141M	$141M	n/a	n/a	n/a	1	$63.8M

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
2017	$91.9M	$106M	-13.6%	$175M	-19.3%	8	8	0	n/a

Relationships

Advises (1)

→ STUART FAMILY FUND, LLCPrivate fundOther Private Fund, ERA
Feb 17, 2012 to presentfactForm ADV

Controls (3)

← LUBIN, RONDA, HALPERINOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 17, 2012 to presentfactForm ADV
← STUART, ALAN, LINCOLNOwnerMANAGING MEMBER, ownership code D, individual
Feb 17, 2012 to presentfactForm ADV
← A.L. STUART FINANCIAL SERVICES, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 27, 2013 to presentfactForm ADV

Registered with (1)

← NATHAN RICHARDSON ALLENAdvisorregistration: previous registration
Aug 10, 2012 to Jun 8, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bdd03f7f-2097-b768-08ce-4b4a435ee416
First observed: Feb 17, 2012
Last observed: Mar 29, 2018 103 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.

A.L. STUART INVESTMENTS, LLC

CRD 158974

STAMFORD, CT

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:bdd03f7f-2097-b768-08ce-4b4a435ee416

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:01 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

STUART FAMILY FUND, LLC

Other Private Fund

$35.2M

Mar 28, 2024

Feb 17, 2012

reported

021-131889

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

A.L. STUART FINANCIAL SERVICES, LLC

MANAGING MEMBER

yes

08/2011

Mar 27, 2013

Mar 29, 2018

LUBIN, RONDA, HALPERIN

CHIEF COMPLIANCE OFFICER

yes

08/2011

Feb 17, 2012

Mar 29, 2018

STUART, ALAN, LINCOLN

MANAGING MEMBER

yes

08/2011

Feb 17, 2012

Mar 29, 2018

STUART, ALAN, LINCOLN

CHIEF EXECUTIVE OFFICER

yes

08/2011

Feb 17, 2012

Mar 29, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

A.L. STUART & CO., LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$91.9M

$75.7M

$40.2M

2016

Mar 22, 2017

$106M

$85.6M

n/a

$37.3M

2015

Mar 11, 2016

$151M

$99.1M

n/a

$38.9M

2014

Mar 27, 2015

$175M

$137M

n/a

$38.3M

2013

Mar 27, 2014

$202M

$163M

n/a

$42.7M

2012

Mar 27, 2013

$191M

$145M

n/a

$61.4M

2011

Feb 17, 2012

$141M

n/a

$63.8M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$91.9M

$106M

-13.6%

$175M

-19.3%

n/a