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••••••••• I••••••••• A•••••••• I•••
Latest filing Jan 27, 2026
First filing on the tape Jan 5, 2012 · 10 filings
SEC status approved since Aug 20, 2025
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$108M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$120M as of Jan 27, 2026
Jan 5, 2012$28.0M then
HNW client RAUM$58.1M as of Jan 27, 2026
Aug 5, 2025$31.0M then
State-registered IARs (5.B.3)1 as of Jan 27, 2026
Jan 5, 20120 then
Employees (5.A)2 as of Jan 27, 2026
Aug 5, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 181derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $311,528derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $42.9M, 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$58.1M48%
- Individuals$49.6M41%
- Pension and profit-sharing plans$12.0M10.0%
- Corporations and businesses$500,0000.4%
- Individual clients
- 152reported
- HNW clients
- 29reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 386reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.9M for 85 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•• R••••• W••••• | C•••• Rapids, Ia | Jul 1, 1999 | 32 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
- P•••••• J•• M•••••••• to D••••••• C••••••• L••Jun 18, 2021 · Other
- S•••••• R••••• M•••••••• to R•• C••••May 6, 2021 · Other
- S•••• M•••••• B•••••••• to B•••••••• W••••• A•••••••• L••Nov 29, 2017 · Other
- P•••••• J•• M•••••••• to H•••••••• W••••• M••••••••• L••Dec 9, 2013 · Other
- K••• W• H••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 30, 2010 · Other
- D•••• D••••• H••••• to D•• M••••• I••••••••• L••Jul 10, 2008 · Other
- D•••• M• R••• to R•• F•••••••• N••••••Jul 10, 2008 · Other
- M•••••• W•••••• F••••••• to R•• F•••••••• N••••••Jul 10, 2008 · Other
- C••••••••• W•••• A••••• to R•• F•••••••• N••••••Jul 10, 2008 · Other
- J••• W•••• A••••• to R•• F•••••••• N••••••Jul 10, 2008 · Other
- B•••••• J••••• B••• to U••• B•••••• I••••••••• I•••Mar 12, 2008 · Other
- C•••••• D••••• C••••• to W•••• L••Feb 28, 2008 · Other
Joined, latest
- P•••••• J•• M•••••••• from H•••••••• W••••• M••••••••• L••Dec 19, 2014 · Other
- K••• W• H••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 9, 2008 · Other
- M•••••• W•••••• F••••••• from N•• E•••••• S••••••••• C•••••••••Jul 12, 2007 · Other
- C•••••• D••••• C••••• from W••••••• F•••••••• S•••••••• I•••Jan 18, 2007 · Other
- B•••••• J••••• B••• from C•••••• T•••• B•••Jan 12, 2007 · Other
- D•••• D••••• H••••• from A••••••••• F•••••••• S•••••••• L••Nov 16, 2006 · Other
- S•••• M•••••• B•••••••• from T•• P••••••• C•••••• I•••Feb 6, 2006 · Other
- S•••••• R••••• M•••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 8, 2005 · Other
- P•••••• J•• M•••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 8, 2005 · Other
- J••• W•••• A••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 8, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• S••••••• R••••• · Chief Executive Officer, Chief Operating Officercontrolsince 11/2005 · owns 50% to 75%
- W•••••• J••• R••••• · President, Chief Compliance Officercontrolsince 11/2005 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Moline, IL
- ,
What changed
consecutive filings, newest first
- Accounts · 218 to 386Oct 17, 2025 to Jan 27, 2026
- Corporate clients · 0 to 1Oct 17, 2025 to Jan 27, 2026
- HNW clients · 24 to 29Oct 17, 2025 to Jan 27, 2026
- Individual clients · 192 to 152Oct 17, 2025 to Jan 27, 2026
- Assets in custody · $85.7M to $42.9MOct 17, 2025 to Jan 27, 2026
- Discretionary RAUM · $108M to $120MOct 17, 2025 to Jan 27, 2026
- HNW RAUM · $31.0M to $58.1MOct 17, 2025 to Jan 27, 2026
- Individual RAUM · $65.0M to $49.6MOct 17, 2025 to Jan 27, 2026
- RAUM · $108M to $120MOct 17, 2025 to Jan 27, 2026
- Accounts · 330 to 218Aug 5, 2025 to Oct 17, 2025
- Charity clients · unset to 0.0Aug 5, 2025 to Oct 17, 2025
- Corporate clients · unset to 0.0Aug 5, 2025 to Oct 17, 2025
- Individual clients · 218 to 192Aug 5, 2025 to Oct 17, 2025
- Pooled vehicle clients · unset to 0.0Aug 5, 2025 to Oct 17, 2025
- Financial planning clients · 0 to 0Aug 5, 2025 to Oct 17, 2025
- Discretionary RAUM · $148M to $108MAug 5, 2025 to Oct 17, 2025
- Individual RAUM · $105M to $65.0MAug 5, 2025 to Oct 17, 2025
- Pooled vehicle RAUM · unset to 0.0Aug 5, 2025 to Oct 17, 2025
- RAUM · $148M to $108MAug 5, 2025 to Oct 17, 2025
- Advisory employees · 0 to 1May 1, 2012 to Aug 5, 2025
- Advisory activities · 4 to 2May 1, 2012 to Aug 5, 2025
- HNW clients · unset to 24.0May 1, 2012 to Aug 5, 2025
- Individual clients · unset to 218.0May 1, 2012 to Aug 5, 2025
- Pension plan clients · unset to 2.0May 1, 2012 to Aug 5, 2025
- Commission compensation · true to falseMay 1, 2012 to Aug 5, 2025
- Assets in custody · unset to 85739415.0May 1, 2012 to Aug 5, 2025
- Custody of client assets · false to trueMay 1, 2012 to Aug 5, 2025
- Employees · unset to 2.0May 1, 2012 to Aug 5, 2025
- Financial planning clients · 1-10 to 0May 1, 2012 to Aug 5, 2025
- State-registered IARs · 0 to 1May 1, 2012 to Aug 5, 2025
- Other offices · unset to 0.0May 1, 2012 to Aug 5, 2025
- Discretionary RAUM · $48.0M to $148MMay 1, 2012 to Aug 5, 2025
- HNW RAUM · unset to 31000000.0May 1, 2012 to Aug 5, 2025
- Individual RAUM · unset to 105000000.0May 1, 2012 to Aug 5, 2025
- Pension RAUM · unset to 12000000.0May 1, 2012 to Aug 5, 2025
- RAUM · $48.0M to $148MMay 1, 2012 to Aug 5, 2025
- Discretionary RAUM · $28.0M to $48.0MJan 26, 2012 to Mar 22, 2012
- RAUM · $28.0M to $48.0MJan 26, 2012 to Mar 22, 2012
- Advisory activities · 6 to 4Jan 10, 2012 to Jan 26, 2012
Signals
No event on the tape.
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 phone
- 319-377-7811reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- S•••••••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 319-377-7811reportedpublic record, Form ADV, Jan 27, 2026
- Contact form
- stonefieldinvestments.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026