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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

STONECASTLE ADVISORS, LLC

CRD 132495

NEW YORK, NY

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Search this name across graphsid dfx:ria:e5e1cf81-d20b-8588-2e45-2502fcb7946e

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 1
On other graphs: 0
Observed: Mar 28, 2012 to Mar 31, 2026
20 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0
Regulatory AUM: $763MItem 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: $763M
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: 5
Private funds: 5Schedule D 7.B(1)
SEC number: 801-63438
CRD: 132495
Filings on the tape: 20
First filed: Mar 28, 2012
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, DE
Website: scpdevco.com

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
US CAPITAL FUNDING VI, LTD.	Securitized Asset Fund	$330M	May 31, 2024	15	Mar 28, 2012	reported	n/a
US CAPITAL FUNDING IV, LTD.	Securitized Asset Fund	$249M	May 31, 2024	7	Mar 28, 2012	reported	n/a
US CAPITAL FUNDING V, LTD.	Securitized Asset Fund	$193M	May 31, 2024	10	Mar 28, 2012	reported	n/a
US CAPITAL FUNDING II, LTD.	Securitized Asset Fund	$150M	May 31, 2024	33	Mar 28, 2012	reported	n/a
US CAPITAL FUNDING III, LTD.	Securitized Asset Fund	$109M	May 31, 2024	13	Mar 28, 2012	reported	n/a
US CAPITAL FUNDING I, LTD	Securitized Asset Fund	$90.5M	May 31, 2024	10	Mar 28, 2012	reported	n/a
SGSC BOND FUND II, LP	Hedge Fund	$83.9M	Feb 8, 2013	5	Mar 28, 2012	dropped	n/a
SGSC BOND FUND, LP	Hedge Fund	$58.9M	Feb 8, 2013	8	Mar 28, 2012	dropped	n/a

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 FUND VI, LP	Member	C	yes	09/2009	Mar 28, 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	EXECUTIVE OFFICER	Na	yes	01/2007	Mar 28, 2012	May 31, 2024
SIEGEL, JOSHUA, STUART	President	Na	yes	02/2004	Mar 28, 2012	May 31, 2024
SIEGEL, JOSHUA, STUART	MANAGING MEMBER	C	yes	06/2003	Mar 28, 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	Mar 28, 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 ASSET MANAGEMENT, LLC	n/a	Institutional manager	$7.5M	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	$763M	$763M	6	1	0	5	n/a
2024	Mar 31, 2025	$1.0B	$1.0B	9	2	0	6	n/a
2023	Mar 30, 2024	$1.1B	$1.1B	9	2	0	6	$1.1B
2022	Mar 31, 2023	$1.1B	$1.1B	9	7	0	6	$1.1B
2021	Mar 31, 2022	$1.2B	$1.2B	9	7	0	6	$1.2B
2020	Mar 31, 2021	$1.2B	$1.2B	9	7	0	6	$1.2B
2019	Mar 30, 2020	$1.3B	$1.3B	9	7	0	6	$1.2B
2018	Mar 29, 2019	$1.3B	$1.3B	9	7	0	6	$1.3B
2017	Mar 29, 2018	$1.3B	$1.3B	7	7	0	6	$1.3B
2016	Mar 30, 2017	$1.5B	$1.5B	7	7	n/a	6	$1.4B
2015	Mar 30, 2016	$1.5B	$1.5B	7	7	n/a	6	$1.5B
2014	Mar 31, 2015	$1.6B	$1.6B	7	7	n/a	6	$1.5B
2013	Mar 31, 2014	$1.6B	$1.6B	7	7	n/a	6	$1.6B
2012	Apr 1, 2013	$1.8B	$1.8B	7	7	n/a	6	$1.8B
2011	Mar 28, 2012	$2.0B	$2.0B	n/a	n/a	n/a	8	$2.0B

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	$763M	$1.0B	-27.3%	$1.1B	-12.2%	6	9	0	0

Relationships

Affiliated with (3)

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

Advises (8)

→ US CAPITAL FUNDING V, LTD.Private fundSecuritized Asset Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ US CAPITAL FUNDING IV, LTD.Private fundSecuritized Asset Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ US CAPITAL FUNDING VI, LTD.Private fundSecuritized Asset Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ US CAPITAL FUNDING III, LTD.Private fundSecuritized Asset Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ US CAPITAL FUNDING I, LTDPrivate fundSecuritized Asset Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ US CAPITAL FUNDING II, LTD.Private fundSecuritized Asset Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ SGSC BOND FUND II, LPPrivate fundHedge Fund, IA, no longer reported
Mar 28, 2012 to Feb 8, 2013factForm ADV
→ SGSC BOND FUND, LPPrivate fundHedge Fund, IA, no longer reported
Mar 28, 2012 to Feb 8, 2013factForm ADV

Controls (7)

← FARRELL, PATRICK, JOSEPHOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 31, 2015 to May 31, 2024factForm ADV
← SHILOWITZ, GEORGEOwnerEXECUTIVE OFFICER, ownership code NA, individual
Mar 28, 2012 to May 31, 2024factForm ADV
← SIEGEL, JOSHUA, STUARTOwnerMANAGING MEMBER, ownership code C, individual
Mar 28, 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 FUND VI, LPOwnerMEMBER, ownership code C, domestic entity
Mar 28, 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
Mar 28, 2012 to May 31, 2024factForm ADV

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
Stonecastle Advisors, Llc reported RAUM $763.4M, down 27% from $1.0B (2025-03-31 to 2026-03-31)
Form ADVobserved 3 days ago
$-286M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e5e1cf81-d20b-8588-2e45-2502fcb7946e
First observed: Mar 28, 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 ADVISORS, LLC

CRD 132495

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:e5e1cf81-d20b-8588-2e45-2502fcb7946e

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:12 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

US CAPITAL FUNDING VI, LTD.

Securitized Asset Fund

$330M

May 31, 2024

Mar 28, 2012

reported

n/a

US CAPITAL FUNDING IV, LTD.

Securitized Asset Fund

$249M

May 31, 2024

Mar 28, 2012

reported

n/a

US CAPITAL FUNDING V, LTD.

Securitized Asset Fund

$193M

May 31, 2024

Mar 28, 2012

reported

n/a

US CAPITAL FUNDING II, LTD.

Securitized Asset Fund

$150M

May 31, 2024

Mar 28, 2012

reported

n/a

US CAPITAL FUNDING III, LTD.

Securitized Asset Fund

$109M

May 31, 2024

Mar 28, 2012

reported

n/a

US CAPITAL FUNDING I, LTD

Securitized Asset Fund

$90.5M

May 31, 2024

Mar 28, 2012

reported

n/a

SGSC BOND FUND II, LP

Hedge Fund

$83.9M

Feb 8, 2013

Mar 28, 2012

dropped

n/a

SGSC BOND FUND, LP

Hedge Fund

$58.9M

Feb 8, 2013

Mar 28, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHARLESBANK EQUITY FUND VI, LP

Member

yes

09/2009

Mar 28, 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

EXECUTIVE OFFICER

yes

01/2007

Mar 28, 2012

May 31, 2024

SIEGEL, JOSHUA, STUART

President

yes

02/2004

Mar 28, 2012

May 31, 2024

SIEGEL, JOSHUA, STUART

MANAGING MEMBER

yes

06/2003

Mar 28, 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

Mar 28, 2012

May 31, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

STONECASTLE ASSET MANAGEMENT, LLC

n/a

Institutional manager

$7.5M

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

$763M

n/a

2024

Mar 31, 2025

$1.0B

n/a

2023

Mar 30, 2024

$1.1B

2022

Mar 31, 2023

$1.1B

2021

Mar 31, 2022

$1.2B

2020

Mar 31, 2021

$1.2B

2019

Mar 30, 2020

$1.3B

$1.2B

2018

Mar 29, 2019

$1.3B

2017

Mar 29, 2018

$1.3B

2016

Mar 30, 2017

$1.5B

n/a

$1.4B

2015

Mar 30, 2016

$1.5B

n/a

$1.5B

2014

Mar 31, 2015

$1.6B

n/a

$1.5B

2013

Mar 31, 2014

$1.6B

n/a

$1.6B

2012

Apr 1, 2013

$1.8B

n/a

$1.8B

2011

Mar 28, 2012

$2.0B

n/a

$2.0B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$763M

$1.0B

-27.3%

$1.1B

-12.2%