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.
SEC-registered adviser
Stawnychy Financial Services, Inc.
Latest filing Mar 30, 2026
First filing on the tape Jun 18, 2025 · 2 filings
SEC status approved since Jun 18, 2025
RAUM
$131M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
87%
$114M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$131M as of Mar 30, 2026
Jun 18, 2025$114M then
HNW client RAUM$80.4M as of Mar 30, 2026
Jun 18, 2025$69.9M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Jun 18, 20251 then
Employees (5.A)4 as of Mar 30, 2026
Jun 18, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 116derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $428,801derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $18.3MreportedItem 5.I
- Custody
- $5.6M, 2 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$80.4M61%
- Individuals$33.4M25%
- State and municipal entities$9.4M7.1%
- Charitable organizations$4.7M3.6%
- Pension and profit-sharing plans$3.3M2.5%
- Individual clients
- 91reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 306reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $5.6M for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 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 |
|---|---|---|---|---|
| Zoriana Maria StawnychyCertified Financial Planner | Kinnelon, Nj | Aug 2, 2016 | 39 y | 2 |
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
- Giuseppe Roveccio to Regal Investment Advisors LLCJun 20, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- Giuseppe Roveccio from Hornor, Townsend & Kent, LLCNov 1, 2018 · Other
- Zoriana Maria Stawnychy from LPL Financial LLCApr 21, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 30, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-06-18, no on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 279 to 306Jun 18, 2025 to Mar 30, 2026
- Advisory activities · 3 to 2Jun 18, 2025 to Mar 30, 2026
- HNW clients · 28 to 25Jun 18, 2025 to Mar 30, 2026
- Individual clients · 88 to 91Jun 18, 2025 to Mar 30, 2026
- Assets in custody · $3.9M to $5.6MJun 18, 2025 to Mar 30, 2026
- Discretionary RAUM · $113M to $130MJun 18, 2025 to Mar 30, 2026
- HNW RAUM · $69.9M to $80.4MJun 18, 2025 to Mar 30, 2026
- Individual RAUM · $29.4M to $33.4MJun 18, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.1M to $1.1MJun 18, 2025 to Mar 30, 2026
- Pension RAUM · $2.8M to $3.3MJun 18, 2025 to Mar 30, 2026
- RAUM · $114M to $131MJun 18, 2025 to Mar 30, 2026
Signals
1 dated events
- Giuseppe Roveccio left Stawnychy Financial Services, Inc. for Regal Investment Advisors Llc (registered 2023-06-20)Jun 20, 2023 · Advisor changed firm · 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 phone
- 973-283-0024reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/stawnychy-financial-services-increportedpublic record, Form ADV, Sep 17, 2026
- Website
- STAWNYCHYFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 973-283-0024reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- stawnychyfinancial.com/contact.htmlreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- stawnychyfinancial.com/about/meet-the-team.htmlreportedpublished by the firm, firm site, Sep 16, 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026