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•••••• M•••••••••
Legal name S••••••••• C•••••• M••••••••• L••
Latest filing Mar 7, 2026
First filing on the tape Feb 27, 2012 · 37 filings
SEC status approved since May 4, 2007
RAUM
$425M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$425M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$85.1M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$425M as of Mar 7, 2026
Feb 27, 2012$135M then
HNW client RAUM$263M as of Mar 7, 2026
Feb 28, 2018$91.9M then
State-registered IARs (5.B.3)5 as of Mar 7, 2026
Feb 28, 20133 then
Employees (5.A)8 as of Mar 7, 2026
Feb 28, 20137 then
Private funds: no history
RAUM +10.0% over the last fiscal year+14% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 7, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $85.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $317,946derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- $318MreportedItem 5.I
- Custody
- $90.4M, 141 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$263M62%
- Individuals$163M38%
- Individual clients
- 359reported
- HNW clients
- 131reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,338reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $90.4M for 141 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| J•••• A•••• U••••Certified Financial Planner | Danvers, Ma | Jan 31, 2005 | 26 y | 1 |
| C••••••••• J••• G•••••••Chartered Financial Analyst | Danvers, Ma | Jun 18, 2012 | 12 y | 0 |
| D•••• W••••• J••••••Chartered Financial Consultant | Danvers, Ma | Jan 11, 2016 | 27 y | 0 |
| J••••• G•••••Certified Financial Planner | Danvers, Ma | Jun 16, 2022 | 13 y | 3 |
| B••••••• H•••• | Danvers, Ma | Apr 10, 2025 | 12 y | 1 |
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
- A••••• J•••• N••••• to B•••••• I••••••••• A•••••••• L••Mar 11, 2022 · RIA to RIA
- A•••••• V• D••••• to C••••••••• F•••••••• N••••••Oct 15, 2014 · Other
- C••• W•••••• G••••• to C••••••••• F•••••••• N••••••Jun 24, 2009 · Other
Joined, latest
- B••••••• H•••• from W•••• F•••• A•••••••Apr 10, 2025 · WIREH•••• TO RIA
- J••••• G••••• from S•••• C••• A•••••••• L••Jun 16, 2022 · RIA to RIA
- A••••• J•••• N••••• from L•• F•••••••• L••Jul 24, 2019 · Affiliated broker-dealer or bank to independent RIA
- C••• W•••••• G••••• from C••••••••• F•••••••• N••••••Jan 9, 2007 · Other
- J•••• A•••• U•••• from C••••••••• F•••••••• N••••••Jan 31, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• C••••••••• J••• · Chief Investment Officercontrolsince 05/2012 · owns less than 5%
- U••••• J••••• A•••• · Managing Member, Chief Compliance Officer, President & Ceocontrolsince 01/2017 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Danvers, Ma · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 7, 2026custody of client assets (Item 9.A): no on the filing of 2025-09-17, yes on the filing of 2026-03-07peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,400 to 1,338Sep 17, 2025 to Mar 7, 2026
- Advisory employees · 4 to 5Sep 17, 2025 to Mar 7, 2026
- HNW clients · 116 to 131Sep 17, 2025 to Mar 7, 2026
- Individual clients · 393 to 359Sep 17, 2025 to Mar 7, 2026
- Assets in custody · unset to 90363353.0Sep 17, 2025 to Mar 7, 2026
- Custody of client assets · false to trueSep 17, 2025 to Mar 7, 2026
- Employees · 7 to 8Sep 17, 2025 to Mar 7, 2026
- State-registered IARs · 4 to 5Sep 17, 2025 to Mar 7, 2026
- Discretionary RAUM · $387M to $425MSep 17, 2025 to Mar 7, 2026
- HNW RAUM · $231M to $263MSep 17, 2025 to Mar 7, 2026
- Individual RAUM · $156M to $163MSep 17, 2025 to Mar 7, 2026
- RAUM · $387M to $425MSep 17, 2025 to Mar 7, 2026
- Advisory activities · 2 to 3Feb 24, 2025 to Sep 17, 2025
- Accounts · 1,342 to 1,400Jul 2, 2024 to Feb 24, 2025
- HNW clients · 98 to 116Jul 2, 2024 to Feb 24, 2025
- Individual clients · 401 to 393Jul 2, 2024 to Feb 24, 2025
- Financial planning clients · 1-10 to 1-10Jul 2, 2024 to Feb 24, 2025
- Discretionary RAUM · $325M to $387MJul 2, 2024 to Feb 24, 2025
- HNW RAUM · $174M to $231MJul 2, 2024 to Feb 24, 2025
- Individual RAUM · $151M to $156MJul 2, 2024 to Feb 24, 2025
- RAUM · $325M to $387MJul 2, 2024 to Feb 24, 2025
- Accounts · 1,266 to 1,342Oct 4, 2023 to Feb 20, 2024
- HNW clients · 90 to 98Oct 4, 2023 to Feb 20, 2024
- Individual clients · 383 to 401Oct 4, 2023 to Feb 20, 2024
- Discretionary RAUM · $286M to $325MOct 4, 2023 to Feb 20, 2024
- HNW RAUM · $155M to $174MOct 4, 2023 to Feb 20, 2024
- Individual RAUM · $131M to $151MOct 4, 2023 to Feb 20, 2024
- RAUM · $286M to $325MOct 4, 2023 to Feb 20, 2024
- Accounts · 1,230 to 1,266Mar 22, 2022 to Feb 2, 2023
- HNW clients · 88 to 90Mar 22, 2022 to Feb 2, 2023
- Individual clients · 344 to 383Mar 22, 2022 to Feb 2, 2023
- Discretionary RAUM · $311M to $286MMar 22, 2022 to Feb 2, 2023
- HNW RAUM · $174M to $155MMar 22, 2022 to Feb 2, 2023
- Individual RAUM · $137M to $131MMar 22, 2022 to Feb 2, 2023
- RAUM · $311M to $286MMar 22, 2022 to Feb 2, 2023
- Accounts · 1,091 to 1,230Oct 7, 2021 to Mar 22, 2022
- HNW clients · 81 to 88Oct 7, 2021 to Mar 22, 2022
- Individual clients · 336 to 344Oct 7, 2021 to Mar 22, 2022
- Discretionary RAUM · $262M to $311MOct 7, 2021 to Mar 22, 2022
- HNW RAUM · $147M to $174MOct 7, 2021 to Mar 22, 2022
Signals
1 dated events
- A••••• J•••• N••••• left S••••••••• C•••••• M••••••••• for B•••••• I••••••••• A•••••••• L•• (registered 2022-04-13)Mar 11, 2022 · 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 email
- info@stonehearthcapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 978-624-3000reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/S•••••••••-CAPITAL-MANAGEMEreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••://WWW.S•••••••••ITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 978-624-3000reportedpublic record, Form ADV, Mar 7, 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
- $85.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026