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.
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SEC-registered adviser
S••••••••• C•••••• A••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2012 · 22 filings
SEC status approved since Jan 30, 1997
RAUM
$2.5B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
71%
$1.8B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$840M
derived; firm RAUM over IAPD count
Employees
31
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$2.5B as of Mar 30, 2026
Mar 28, 2012$791M then
HNW client RAUM$1.4B as of Mar 30, 2026
Mar 28, 2018$543M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 15, 20130 then
Employees (5.A)31 as of Mar 30, 2026
Apr 15, 201316 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $504MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 322derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $799,632derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.4B54%
- Individuals$414M16%
- Insurance companies$364M14%
- Charitable organizations$146M5.8%
- Investment companies$111M4.4%
- Corporations and businesses$97.3M3.9%
- Pension and profit-sharing plans$10.4M0.4%
- Other investment advisers$5.4M0.2%
- Individual clients
- 1,071reported
- HNW clients
- 538reported
- Pension plan clients
- n/areported
- Charitable clients
- 31reported
- Accounts
- 3,151reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $1.9M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.71 fund_share=0.05 institutional_share=0.21 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••••• A••• K•••••• | St. Paul, Mn | Mar 28, 2007 | 35 y | 0 |
| R••••• P•••• N•••• | St. Paul, Mn | Aug 5, 2026 | 11 y | 0 |
| H•••• L••••• H•••••••Chartered Financial Analyst | St. Paul, Mn | Aug 7, 2026 | 29 y | 0 |
| J••• K••• S••••••••Chartered Financial Analyst | St. Paul, Mn | Sep 16, 2026 | 39 y | 0 |
| D•••••• J•••• W•••••Certified Financial Planner | Greenwood Village, Co | Sep 16, 2026 | 20 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••••• J•••• W••••• from E••••• J••••Sep 16, 2026 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• D•••••• T••••••• · Board Of Directorscontrolsince 01/2019 · owns less than 5%
- H•••••••• H••••• L••••• · Chief Operating Officercontrolsince 01/2021 · owns less than 5%
- H•••• R•••••• C••• · Executive Vice President, Board Of Directorscontrolsince 09/2018 · owns less than 5%
- K••••••• L•••• A• · Shareholdercontrolsince 01/2017 · owns 5% to 10%
- K••••••• R•••••• A••• · President, Chief Executive Officer, Chairman Of The Boardcontrolsince 11/2001 · owns 10% to 25%
- S••••••• C••••• L•••• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- S••••••••• J•••• K••• · Chief Investment Officer, Board Of Directorscontrolsince 09/2018 · owns less than 5%
- W•••••• L••••• · Chief Administrative Officercontrolsince 01/2021 · owns less than 5%
- H•••••• A•••••• · Shareholdersince 12/2000 · owns less than 5%
- Y••••• D•••••• W• · Shareholdersince 02/2001 · owns 10% to 25%
Entity owners
- D•••• C• C•••••• · Partnerindirect · owns 25% to 50% of R••• G•••• L••
- R••• G•••• L•• · Shareholderdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| St Paul, Mn | 5 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Denver, CO1 employees
- Hendersonville, TN1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Mar 30, 2026employees per registered advisor of 6.2 against a peer median of 1.5 (1101 comparable advisers, 99.0th percentile, 9.7 robust deviations)peers: independent wealth managers, $1B to $5B (1,101) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 2,982 to 3,151Mar 31, 2025 to Mar 30, 2026
- Charity clients · 27 to 31Mar 31, 2025 to Mar 30, 2026
- Corporate clients · 17 to 18Mar 31, 2025 to Mar 30, 2026
- HNW clients · 466 to 538Mar 31, 2025 to Mar 30, 2026
- Individual clients · 1,091 to 1,071Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.2B to $2.4BMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $1.2B to $1.4BMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $408M to $414MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $66.3M to $70.3MMar 31, 2025 to Mar 30, 2026
- Pension RAUM · $4.0M to $10.4MMar 31, 2025 to Mar 30, 2026
- RAUM · $2.3B to $2.5BMar 31, 2025 to Mar 30, 2026
- Wrap assets (manager) · $2.3M to $1.9MMar 31, 2025 to Mar 30, 2026
- Accounts · 2,586 to 2,982Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 14 to 13Mar 29, 2024 to Mar 31, 2025
- Corporate clients · 19 to 17Mar 29, 2024 to Mar 31, 2025
- HNW clients · 404 to 466Mar 29, 2024 to Mar 31, 2025
- Individual clients · 1,021 to 1,091Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · 6.0 to unsetMar 29, 2024 to Mar 31, 2025
- Employees · 28 to 31Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.0B to $2.2BMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $1.0B to $1.2BMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $378M to $408MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $67.4M to $66.3MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $3.8M to $4.0MMar 29, 2024 to Mar 31, 2025
- RAUM · $2.0B to $2.3BMar 29, 2024 to Mar 31, 2025
- Wrap assets (manager) · $2.5M to $2.3MMar 29, 2024 to Mar 31, 2025
- Charity clients · 24 to 27Mar 31, 2023 to Mar 29, 2024
- Accounts · 2,317 to 2,586Mar 31, 2023 to Mar 29, 2024
- BD registered reps · 3 to 0Mar 31, 2023 to Mar 29, 2024
- Corporate clients · 11 to 19Mar 31, 2023 to Mar 29, 2024
- HNW clients · 373 to 404Mar 31, 2023 to Mar 29, 2024
- Individual clients · 947 to 1,021Mar 31, 2023 to Mar 29, 2024
- Pension plan clients · unset to 6.0Mar 31, 2023 to Mar 29, 2024
- State-registered IARs · 3 to 0Mar 31, 2023 to Mar 29, 2024
- Other offices · 3 to 2Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.7B to $2.0BMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $863M to $1.0BMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $321M to $378MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $54.2M to $67.4MMar 31, 2023 to Mar 29, 2024
Signals
5 dated events
- J••• K••• S•••••••• registered as an investment adviser representative at S••••••••• C•••••• A••••••• L••Sep 16, 2026 · Advisor registered · fact
- D•••••• J•••• W••••• registered as an investment adviser representative at S••••••••• C•••••• A••••••• L••Sep 16, 2026 · Advisor registered · fact
- Louise Heidi Hukriede (Chief Operating Officer) appeared on Schedule A of S••••••••• C•••••• A••••••• L••Mar 31, 2022 · Control person joined · fact
- L••••• W••••• (Chief Administrative Officer) appeared on Schedule A of S••••••••• C•••••• A••••••• L••Mar 31, 2022 · Control person joined · fact
- Lynne Cathi Schmidt-Loude (Chief Compliance Officer) appeared on Schedule A of S••••••••• C•••••• A••••••• L••Mar 31, 2022 · Control person joined · fact
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@stonebridgecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- arogers@stonebridgecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- bmellum@stonebridgecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- bmiller@stonebridgecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- bromano@stonebridgecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- cschmidt@stonebridgecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dklopp@stonebridgecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dlaufenberg@stonebridgecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dwatson@stonebridgecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- gjadhav@stonebridgecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jbonk@stonebridgecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mcornelsen@stonebridgecap.comreportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $840Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026