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.

Former SEC-registered adviser

Stonegate Capital Advisors, LLC

Former SEC-registered adviserScottsdale, ArizonaCRD 113843SEC 801-68121IAPD
Latest filing Jan 20, 2021
First filing on the tape Dec 2, 2011 · 43 filings
RAUM
$374M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$347M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$374M as of Jan 20, 2021
Jan 26, 2012$125M then
HNW client RAUM$320M as of Mar 18, 2019
Mar 12, 2018$301M then
State-registered IARs (5.B.3)5 as of Jan 20, 2021
Mar 27, 20132 then
Employees (5.A)9 as of Jan 20, 2021
Mar 27, 20137 then
Private funds: no history
RAUM +24% over the last fiscal year+5.1% a year over threeIARs 3 to 5
Practice profile
derived from the filing of Jan 20, 2021; every figure names its basis
RAUM per advisor
$74.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
51derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$299,200derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+67%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$347M93%
  • Pension and profit-sharing plans$21.0M5.6%
  • Charitable organizations$6.0M1.6%
Individual clients
257reported
HNW clients
0reported
Pension plan clients
17reported
Charitable clients
6reported
Accounts
1,250reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Alan Jameson Van Houten · Ceo/Presidentcontrol
      since 03/2003 · owns less than 5%
    • Alan Jameson Van Houten · Trustee Of Stoneblue Revocable Trustcontrol
      since 03/2003 · owns 25% to 50% of Stonblue Revocable Trust
    Entity owners
    • Stonegate Financial Group, LLC · Sole Member And Owner Of Stonegate Capital Advisors, LLC
      direct · owns 75% or more
    • Stoneblue Revocable Trust · Sole Member And Owner Of Stonegate Financial Group, LLC
      indirect · owns 75% or more of Stonegate Financial Group, LLC
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,100 to 1,250
      Jun 29, 2020 to Jan 20, 2021
    • Individual clients · 235 to 257
      Jun 29, 2020 to Jan 20, 2021
    • Discretionary RAUM · $302M to $374M
      Jun 29, 2020 to Jan 20, 2021
    • Individual RAUM · $281M to $347M
      Jun 29, 2020 to Jan 20, 2021
    • Pension RAUM · $18.0M to $21.0M
      Jun 29, 2020 to Jan 20, 2021
    • RAUM · $302M to $374M
      Jun 29, 2020 to Jan 20, 2021
    • State-registered IARs · 3 to 5
      Jun 2, 2020 to Jun 29, 2020
    • Accounts · 1,079 to 1,100
      Jul 29, 2019 to Mar 18, 2020
    • HNW clients · 235 to 0
      Jul 29, 2019 to Mar 18, 2020
    • Individual clients · unset to 235.0
      Jul 29, 2019 to Mar 18, 2020
    • Financial planning clients · 11-25 to 26-50
      Jul 29, 2019 to Mar 18, 2020
    • Other offices · 1 to 0
      Jul 29, 2019 to Mar 18, 2020
    • Discretionary RAUM · $349M to $302M
      Jul 29, 2019 to Mar 18, 2020
    • HNW RAUM · 320000000.0 to unset
      Jul 29, 2019 to Mar 18, 2020
    • Individual RAUM · unset to 281000000.0
      Jul 29, 2019 to Mar 18, 2020
    • Pension RAUM · $24.0M to $18.0M
      Jul 29, 2019 to Mar 18, 2020
    • RAUM · $349M to $302M
      Jul 29, 2019 to Mar 18, 2020
    • Accounts · 241 to 1,079
      Dec 10, 2018 to Mar 18, 2019
    • Charity clients · 5 to 6
      Dec 10, 2018 to Mar 18, 2019
    • HNW clients · 221 to 235
      Dec 10, 2018 to Mar 18, 2019
    • Pension plan clients · 15 to 17
      Dec 10, 2018 to Mar 18, 2019
    • Discretionary RAUM · $322M to $349M
      Dec 10, 2018 to Mar 18, 2019
    • HNW RAUM · $301M to $320M
      Dec 10, 2018 to Mar 18, 2019
    • Pension RAUM · $18.0M to $24.0M
      Dec 10, 2018 to Mar 18, 2019
    • RAUM · $322M to $349M
      Dec 10, 2018 to Mar 18, 2019
    • Accounts · 209 to 241
      Jan 30, 2018 to Mar 12, 2018
    • Charity clients · unset to 5.0
      Jan 30, 2018 to Mar 12, 2018
    • HNW clients · 200 to 221
      Jan 30, 2018 to Mar 12, 2018
    • Pension plan clients · unset to 15.0
      Jan 30, 2018 to Mar 12, 2018
    • Employees · 10 to 9
      Jan 30, 2018 to Mar 12, 2018
    • State-registered IARs · 4 to 3
      Jan 30, 2018 to Mar 12, 2018
    • Discretionary RAUM · $286M to $322M
      Jan 30, 2018 to Mar 12, 2018
    • HNW RAUM · unset to 301000000.0
      Jan 30, 2018 to Mar 12, 2018
    • Pension RAUM · unset to 18000000.0
      Jan 30, 2018 to Mar 12, 2018
    • RAUM · $286M to $322M
      Jan 30, 2018 to Mar 12, 2018
    • BD registered reps · 3 to 2
      Jul 28, 2017 to Dec 19, 2017
    • Corporate clients · unset to 0.0
      Jul 28, 2017 to Dec 19, 2017
    • HNW clients · unset to 200.0
      Jul 28, 2017 to Dec 19, 2017
    • Pooled vehicle clients · unset to 0.0
      Jul 28, 2017 to Dec 19, 2017
    • State-registered IARs · 5 to 4
      Jul 28, 2017 to Dec 19, 2017
    Signals
    1 dated events
    • Stonegate Financial Group, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Mar 31, 2015 · Succession (Item 4) · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026