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

STONE & YOUNGBERG LLC

CRD 795

SAN FRANCISCO, CA

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:f58a4ded-d1f0-dc91-1ccf-62931fe0961a

Data as of Jan 6, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 44
Dated events: 0
On other graphs: 0
Observed: Jan 6, 2012 to Jan 6, 2012
1 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: $50.3MItem 5.F on the latest filing (2012-01-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $50.3M
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
Accounts: 21
Custody, client assets: $13B
SEC number: 801-69883
CRD: 795
Filings on the tape: 1
First filed: Jan 6, 2012
Latest filed: Jan 6, 2012
Organised: Limited Liability Company, California

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
GAGE, MITCHELL HUGHEY	Cfo	Na	yes	02/1982	Jan 6, 2012	Jan 6, 2012
STIFEL FINANCIAL CORP.	Shareholder	E	yes	10/2011	Jan 6, 2012	Jan 6, 2012
WILLIAMS, KENNETH EVERETT	President	Na	yes	01/1996	Jan 6, 2012	Jan 6, 2012
HSU, DAVID CHENG-WEI	CHIEF COMPLIANCE OFFICER	Na	no	07/2011	Jan 6, 2012	Jan 6, 2012

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Phoenix	Az	United States	n/a	no
LOS ANGELES	CA	United States	n/a	no
LOS ANGELES	CA	United States	n/a	no
SAN DIEGO	CA	United States	n/a	no

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
2011	Jan 6, 2012	$50.3M	$50.3M	n/a	n/a	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
2011	$50.3M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (3)

← GAGE, MITCHELL HUGHEYOwnerCFO, ownership code NA, individual
Jan 6, 2012 to presentfactForm ADV
← WILLIAMS, KENNETH EVERETTOwnerPRESIDENT, ownership code NA, individual
Jan 6, 2012 to presentfactForm ADV
← STIFEL FINANCIAL CORP.OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 6, 2012 to presentfactForm ADV

Owns (1)

← HSU, DAVID CHENG-WEIOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 6, 2012 to presentfactForm ADV

Affiliated with (1)

← THOMAS WEISEL PARTNERS LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Registered with (36)

← DOUGLAS CHARLES HESKEAdvisorregistration: previous registration
Jan 26, 2012 to Jun 13, 2012factForm ADV
← DALE R. HAITHCOCKAdvisorregistration: previous registration
Nov 8, 2011 to Jun 7, 2012factForm ADV
← SALIM RESHWANAdvisorregistration: previous registration
Nov 4, 2011 to Jun 7, 2012factForm ADV
← PAUL ROBERT TOUCHSTONEAdvisorregistration: previous registration
Nov 23, 2009 to Nov 7, 2011factForm ADV
← TODD LELAND STONEAdvisorregistration: previous registration
Jun 9, 2006 to Nov 4, 2011factForm ADV
← BRIAN DOUGLAS TALGOAdvisorregistration: previous registration
Jan 20, 2004 to Nov 3, 2011factForm ADV
← DENNIS JOSEPH JANSSENAdvisorregistration: previous registration
Jan 8, 2004 to Nov 3, 2011factForm ADV
← JEFFREY DONALD GREENAdvisorregistration: previous registration
Jul 30, 2002 to Nov 3, 2011factForm ADV
← JENNIFER CARROLL GREENAdvisorregistration: previous registration
Nov 25, 2009 to Nov 3, 2011factForm ADV
← PHILIP SARGENT TAYLORAdvisorregistration: previous registration
Jul 5, 2006 to Nov 2, 2011factForm ADV
← GREGORY STUART YOUNGAdvisorregistration: previous registration
Apr 6, 2006 to Nov 2, 2011factForm ADV
← GREGORY ROBERT SAINAdvisorregistration: previous registration
Jul 6, 2004 to Nov 2, 2011factForm ADV
← JOHN PATRICK MCCARTHYAdvisorregistration: previous registration
Mar 30, 2006 to Nov 2, 2011factForm ADV
← JOSEPH GEORGE BRAZILAdvisorregistration: previous registration
Jul 30, 2002 to Nov 2, 2011factForm ADV
← ANDREW PRESTON PETERSONAdvisorregistration: previous registration
Jul 30, 2002 to Nov 2, 2011factForm ADV
← JOHN WILSON HUTCHINSONAdvisorregistration: previous registration
Jan 8, 2004 to Nov 2, 2011factForm ADV
← GHAZALEH KAYVAN EBRAHIMIAdvisorregistration: previous registration
Aug 12, 2002 to Nov 2, 2011factForm ADV
← ROBERT ANTHONY RAMIREZAdvisorregistration: previous registration
Apr 10, 2006 to Nov 2, 2011factForm ADV
← DARRACH MICHAEL BOURKEAdvisorregistration: previous registration
May 20, 2009 to Nov 2, 2011factForm ADV
← JAMES MOORE GABALAdvisorregistration: previous registration
Oct 13, 2010 to Nov 2, 2011factForm ADV
← KATHERINE ERIN EHLERSAdvisorregistration: previous registration
Jan 16, 2007 to Jun 30, 2011factForm ADV
← MARK FRED AUGUSTAAdvisorregistration: previous registration
Jul 17, 2006 to Jan 28, 2011factForm ADV
← JARED MATHEW BOLDEMANNAdvisorregistration: previous registration
Mar 16, 2004 to Jan 20, 2011factForm ADV
← DAVID SCOTT WHITCHERAdvisorregistration: previous registration
Jan 31, 2005 to Sep 29, 2010factForm ADV
← WILLIAM A PAINEAdvisorregistration: previous registration
Apr 29, 2009 to Oct 26, 2009factForm ADV
← JULIE ELLEN OPHEIMAdvisorregistration: previous registration
Apr 24, 2006 to Feb 29, 2008factForm ADV
← MICHAEL DAVID GOODMANAdvisorregistration: previous registration
May 23, 2007 to Feb 1, 2008factForm ADV
← Whitney Light BaniaAdvisorregistration: previous registration
Aug 21, 2006 to Nov 27, 2007factForm ADV
← CHARLES JOSEPH ELSEAdvisorregistration: previous registration
Jan 4, 2007 to Oct 15, 2007factForm ADV
← RONALD DAVID GOLDMANAdvisorregistration: previous registration
Apr 24, 2006 to Oct 1, 2007factForm ADV
and 6 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f58a4ded-d1f0-dc91-1ccf-62931fe0961a
First observed: Jan 6, 2012
Last observed: Jan 6, 2012 179 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.

STONE & YOUNGBERG LLC

CRD 795

SAN FRANCISCO, CA

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:f58a4ded-d1f0-dc91-1ccf-62931fe0961a

Data as of Jan 6, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GAGE, MITCHELL HUGHEY

Cfo

yes

02/1982

Jan 6, 2012

STIFEL FINANCIAL CORP.

Shareholder

yes

10/2011

Jan 6, 2012

WILLIAMS, KENNETH EVERETT

President

yes

01/1996

Jan 6, 2012

HSU, DAVID CHENG-WEI

CHIEF COMPLIANCE OFFICER

07/2011

Jan 6, 2012

City

State

Country

Employees

Also broker-dealer

Phoenix

United States

n/a

LOS ANGELES

United States

n/a

LOS ANGELES

United States

n/a

SAN DIEGO

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Jan 6, 2012

$50.3M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$50.3M

n/a