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 Wealth Management, LLC

Former SEC-registered adviserCary, North CarolinaCRD 121412SEC 801-63331IAPD
Latest filing Jun 21, 2022
First filing on the tape Mar 27, 2012 · 38 filings
RAUM
$54.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$54.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$52.6M as of Mar 31, 2021
Mar 27, 2012$227M then
HNW client RAUM$0 as of Mar 31, 2021
Mar 14, 2018$67.1M then
State-registered IARs (5.B.3)1 as of Mar 31, 2021
Apr 1, 20134 then
Employees (5.A)2 as of Mar 31, 2021
Apr 1, 20137 then
Private funds: no history
RAUM -66% over the last fiscal year-24% a year over threeIARs 5 to 2offices 1 to 0
Practice profile
derived from the filing of Jun 21, 2022; every figure names its basis
RAUM per advisor
$27.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$753,802derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-67%derivedbetween the last two annual amendments
Advisor growth, one year
-80%derivedItem 5.B.3 between annual amendments
Client growth, one year
-50%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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$54.3M100%
Individual clients
72reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
72reported
Financial planning clients
51-100reported
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
Left, latest
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
    • J. Thomas Geraghty · Owner/Ccocontrol
      since 01/2010 · owns 75% or more
    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 · 155 to 72
      Dec 17, 2021 to Jun 21, 2022
    • Financial planning clients · 101-250 to 51-100
      Dec 17, 2021 to Jun 21, 2022
    • Discretionary RAUM · $52.6M to $54.3M
      Dec 17, 2021 to Jun 21, 2022
    • Individual RAUM · $52.6M to $54.3M
      Dec 17, 2021 to Jun 21, 2022
    • RAUM · $52.6M to $54.3M
      Dec 17, 2021 to Jun 21, 2022
    • Advisory employees · 1 to 2
      Dec 17, 2021 to Dec 17, 2021
    • State-registered IARs · 1 to 2
      Dec 17, 2021 to Dec 17, 2021
    • Accounts · 145 to 155
      Dec 4, 2020 to Mar 31, 2021
    • HNW clients · 90 to 0
      Dec 4, 2020 to Mar 31, 2021
    • Individual clients · 55 to 72
      Dec 4, 2020 to Mar 31, 2021
    • Discretionary RAUM · $157M to $52.6M
      Dec 4, 2020 to Mar 31, 2021
    • HNW RAUM · $89.1M to $0
      Dec 4, 2020 to Mar 31, 2021
    • Individual RAUM · $70.9M to $52.6M
      Dec 4, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $2.7M to $0
      Dec 4, 2020 to Mar 31, 2021
    • RAUM · $160M to $52.6M
      Dec 4, 2020 to Mar 31, 2021
    • Advisory employees · 5 to 1
      Jul 24, 2020 to Sep 28, 2020
    • Advisory activities · 3 to 2
      Jul 24, 2020 to Sep 28, 2020
    • Employees · 6 to 2
      Jul 24, 2020 to Sep 28, 2020
    • HQ city · OAKLAND to CARY
      Jul 24, 2020 to Sep 28, 2020
    • HQ state · NJ to NC
      Jul 24, 2020 to Sep 28, 2020
    • State-registered IARs · 5 to 1
      Jul 24, 2020 to Sep 28, 2020
    • Other offices · 1 to 0
      Jul 24, 2020 to Sep 28, 2020
    • Accounts · 540 to 145
      Oct 7, 2019 to Mar 31, 2020
    • HNW clients · 75 to 90
      Oct 7, 2019 to Mar 31, 2020
    • Individual clients · 50 to 55
      Oct 7, 2019 to Mar 31, 2020
    • Discretionary RAUM · $127M to $157M
      Oct 7, 2019 to Mar 31, 2020
    • HNW RAUM · $71.1M to $89.1M
      Oct 7, 2019 to Mar 31, 2020
    • Individual RAUM · $58.0M to $70.9M
      Oct 7, 2019 to Mar 31, 2020
    • Non-discretionary RAUM · $2.1M to $2.7M
      Oct 7, 2019 to Mar 31, 2020
    • RAUM · $129M to $160M
      Oct 7, 2019 to Mar 31, 2020
    • Accounts · 462 to 540
      May 8, 2018 to Mar 19, 2019
    • Advisory employees · 4 to 5
      May 8, 2018 to Mar 19, 2019
    • State-registered IARs · 4 to 5
      May 8, 2018 to Mar 19, 2019
    • Discretionary RAUM · $122M to $127M
      May 8, 2018 to Mar 19, 2019
    • HNW RAUM · $67.1M to $71.1M
      May 8, 2018 to Mar 19, 2019
    • Individual RAUM · $57.1M to $58.0M
      May 8, 2018 to Mar 19, 2019
    • Non-discretionary RAUM · $2.0M to $2.1M
      May 8, 2018 to Mar 19, 2019
    • RAUM · $124M to $129M
      May 8, 2018 to Mar 19, 2019
    • Accounts · 509 to 462
      Feb 19, 2018 to Mar 14, 2018
    • Discretionary RAUM · $123M to $122M
      Feb 19, 2018 to Mar 14, 2018
    Signals
    4 dated events
    • Thomas J. Geraghty left Stonegate Wealth Management, Llc for Dutch Asset Corporation (registered 2022-10-31)
      Oct 31, 2022 · Advisor changed firm · fact
    • Stonegate Wealth Management, Llc reported RAUM $52.6M, down 67% from $160.1M (2020-12-04 to 2021-03-31)
      Mar 31, 2021 · RAUM change · derived
    • Charles Stephen Craffen (Managing Member Chief Compliance Officer) no longer on Schedule A of Stonegate Wealth Management, Llc (listed 2020-07-24, absent 2020-09-28)
      Sep 28, 2020 · Control person left · inference
    • J. Thomas Geraghty (Owner) appeared on Schedule A of Stonegate Wealth Management, Llc
      Mar 31, 2020 · 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.
    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