DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•••••• I••••••••• A••••••••• I••
Latest filing Mar 24, 2026
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Jul 5, 1994
RAUM
$2.8B
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
24%
$654M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$554M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$2.8B as of Mar 24, 2026
Mar 29, 2012$548M then
HNW client RAUM$572M as of Mar 24, 2026
Mar 30, 2018$289M then
State-registered IARs (5.B.3)5 as of Mar 24, 2026
Mar 29, 20120 then
Employees (5.A)10 as of Mar 24, 2026
Apr 1, 20133 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $554MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $3.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 76%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $185M, 85 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.9B70%
- High-net-worth individuals$572M21%
- Charitable organizations$167M6.0%
- Individuals$82.3M3.0%
- Corporations and businesses$3.0M0.1%
- Individual clients
- 101reported
- HNW clients
- 101reported
- Pension plan clients
- 14reported
- Charitable clients
- 19reported
- Accounts
- 820reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $185M for 85 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.24 fund_share=0.0 institutional_share=0.76 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• W•••••• T••••••••Certified Financial Planner | Louisville, Ky | Mar 14, 2005 | 22 y | 0 |
| B•••••• D•••Certified Financial Planner | Louisville, Ky | Dec 12, 2019 | 11 y | 2 |
| A•••• L•••• M••••• | Louisville, Ky | Feb 15, 2022 | 10 y | 0 |
| E•••••••• S•••••• P•••••• | Louisville, Ky | Feb 17, 2022 | 32 y | 1 |
| N••••••• A••• J••••Chartered Financial Analyst | Louisville, Ky | Oct 15, 2025 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- L••••• S••••••• B••••••••• to C••••• P••••••• O••• L••May 7, 2021 · RIA to RIA
- A•••••• P••••• W•••••• to N••••••••• M••••• I••••••••• S•••••••••Jul 21, 2020 · Other
- A•• J••••• N••••• to T•• G•••••• G••••• I•••Oct 11, 2019 · RIA to RIA
- C•••••• B•••• S•••• to M••••• S••••••Mar 19, 2012 · Other
- K•••••• V• D•••••• to K• F•••••••• A•••• M••••••••• I•••Mar 18, 2011 · Other
Joined, latest
- B•••••• D••• from R••••• W• B•••• • C•• I•••••••••Dec 12, 2019 · RIA to RIA
- C•••••• B•••• S•••• from U•••• F•••••••• S••••••• G••••• I•••Mar 9, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• D••••••• D••• · President & Chief Operating Officer & Chief Compliance Officercontrolsince 05/2019 · owns less than 5%
- P••••••• E••••••••• S•••••• · Chief Executive Officer/Chief Investment Officercontrolsince 01/1994 · owns 75% or more
- E••••• J••• · Director Of Researchsince 01/2023 · owns 5% to 10%
- T••••••••• R•••• W•••••• · Director Of Portfolio Managementsince 01/2023 · owns 10% to 25%
- V••••• M••••••• S•••••• · Senior Associatesince 01/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 24, 2026institutional share of RAUM of 76% against a peer median of 3% (1362 comparable advisers, 100.0th percentile, 18.3 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 794 to 820Mar 21, 2025 to Mar 24, 2026
- HNW clients · 129 to 101Mar 21, 2025 to Mar 24, 2026
- Individual clients · 71 to 101Mar 21, 2025 to Mar 24, 2026
- Assets in custody · $185M to $185MMar 21, 2025 to Mar 24, 2026
- Employees · 11 to 10Mar 21, 2025 to Mar 24, 2026
- State-registered IARs · 4 to 5Mar 21, 2025 to Mar 24, 2026
- Discretionary RAUM · $1.9B to $2.2BMar 21, 2025 to Mar 24, 2026
- HNW RAUM · $564M to $572MMar 21, 2025 to Mar 24, 2026
- Individual RAUM · $30.0M to $82.3MMar 21, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $496M to $568MMar 21, 2025 to Mar 24, 2026
- Pension RAUM · $1.7B to $1.9BMar 21, 2025 to Mar 24, 2026
- RAUM · $2.4B to $2.8BMar 21, 2025 to Mar 24, 2026
- Accounts · 744 to 794Mar 21, 2024 to Mar 21, 2025
- HNW clients · 120 to 129Mar 21, 2024 to Mar 21, 2025
- Assets in custody · $179M to $185MMar 21, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 21, 2025
- Discretionary RAUM · $1.7B to $1.9BMar 21, 2024 to Mar 21, 2025
- HNW RAUM · $485M to $564MMar 21, 2024 to Mar 21, 2025
- Individual RAUM · $30.0M to $30.0MMar 21, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $458M to $496MMar 21, 2024 to Mar 21, 2025
- Pension RAUM · $1.5B to $1.7BMar 21, 2024 to Mar 21, 2025
- RAUM · $2.1B to $2.4BMar 21, 2024 to Mar 21, 2025
- Accounts · 730 to 744Mar 15, 2023 to Mar 11, 2024
- Advisory employees · 4 to 5Mar 15, 2023 to Mar 11, 2024
- Charity clients · 18 to 19Mar 15, 2023 to Mar 11, 2024
- HNW clients · 107 to 120Mar 15, 2023 to Mar 11, 2024
- Individual clients · 89 to 71Mar 15, 2023 to Mar 11, 2024
- Assets in custody · $165M to $179MMar 15, 2023 to Mar 11, 2024
- Employees · 10 to 11Mar 15, 2023 to Mar 11, 2024
- Discretionary RAUM · $1.4B to $1.7BMar 15, 2023 to Mar 11, 2024
- HNW RAUM · $421M to $485MMar 15, 2023 to Mar 11, 2024
- Individual RAUM · $40.3M to $30.0MMar 15, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $332M to $458MMar 15, 2023 to Mar 11, 2024
- Pension RAUM · $1.2B to $1.5BMar 15, 2023 to Mar 11, 2024
- RAUM · $1.7B to $2.1BMar 15, 2023 to Mar 11, 2024
- Accounts · 702 to 730Dec 5, 2022 to Mar 15, 2023
- Advisory employees · 6 to 4Dec 5, 2022 to Mar 15, 2023
- Charity clients · 17 to 18Dec 5, 2022 to Mar 15, 2023
- Corporate clients · 0.0 to unsetDec 5, 2022 to Mar 15, 2023
- HNW clients · 117 to 107Dec 5, 2022 to Mar 15, 2023
Signals
2 dated events
- Dare Douglas Peabody (President & Chief Operating Officer) appeared on Schedule A of S•••••• I••••••••• A••••••••• I••Mar 27, 2020 · Control person joined · fact
- S•••••• I••••••••• A••••••••• I•• reported RAUM $1.0B, up 31% from $768.4M (2017-03-30 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@stegnerinvestments.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 502-895-0122reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 502-895-0316reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/stegner-investment-associates-inc-/mycoreportedpublic record, Form ADV, Sep 18, 2026
- Website
- stegnerinvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 502-895-0122reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- stegnerinvestments.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- stegnerinvestments.com/our-peoplereportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $554Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026