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

Stonnington Group, LLC

Former SEC-registered adviserPasadena, CaliforniaCRD 131221SEC 801-63081IAPD
Latest filing Jun 6, 2023
First filing on the tape Mar 29, 2012 · 38 filings
RAUM
$553M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
91%
$502M 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
1
$2.5M gross assets
History
38 filings and snapshots on the tape
RAUM$553M as of Jun 6, 2023
Mar 29, 2012$234M then
HNW client RAUM$464M as of Jun 6, 2023
Mar 30, 2018$189M then
State-registered IARs (5.B.3)2 as of Jun 6, 2023
Mar 29, 20120 then
Employees (5.A)2 as of Jun 6, 2023
Mar 20, 201310 then
Private funds1 as of Jun 6, 2023
Mar 29, 20121 then
RAUM -23% over the last fiscal year-0.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 6, 2023; every figure names its basis
RAUM per advisor
$277MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
123derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$960,147derivedRAUM over accounts (5.F.2.f)
Discretionary
83%derivedof RAUM
Institutional
8.2%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
-23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.8%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 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
  • 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)
  • 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$464M84%
  • Individuals$38.2M6.9%
  • Pension and profit-sharing plans$37.1M6.7%
  • Charitable organizations$8.3M1.5%
  • Corporations and businesses$5.4M1.0%
Individual clients
118reported
HNW clients
127reported
Pension plan clients
5reported
Charitable clients
3reported
Accounts
576reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Stonnington Asset Allocation, LPPrivate Equity Fund$2.5M10Mar 29, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Henry Nicholas Stonnington · Managing Membercontrol
      since 03/2005 · owns 75% or more
    • Henry Nicholas Stonnington · Cco
      since 04/2021 · owns less than 5%
    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 · 564 to 576
      Jul 18, 2022 to Jun 6, 2023
    • HNW clients · 118 to 127
      Jul 18, 2022 to Jun 6, 2023
    • Pension plan clients · 15 to 5
      Jul 18, 2022 to Jun 6, 2023
    • Discretionary RAUM · $656M to $459M
      Jul 18, 2022 to Jun 6, 2023
    • HNW RAUM · $612M to $464M
      Jul 18, 2022 to Jun 6, 2023
    • Individual RAUM · $47.5M to $38.2M
      Jul 18, 2022 to Jun 6, 2023
    • Non-discretionary RAUM · $59.5M to $94.4M
      Jul 18, 2022 to Jun 6, 2023
    • Pension RAUM · $39.2M to $37.1M
      Jul 18, 2022 to Jun 6, 2023
    • RAUM · $716M to $553M
      Jul 18, 2022 to Jun 6, 2023
    • Accounts · 505 to 564
      Aug 17, 2021 to Mar 2, 2022
    • Charity clients · 10 to 3
      Aug 17, 2021 to Mar 2, 2022
    • Corporate clients · 13 to 1
      Aug 17, 2021 to Mar 2, 2022
    • HNW clients · 36 to 118
      Aug 17, 2021 to Mar 2, 2022
    • Individual clients · 170 to 118
      Aug 17, 2021 to Mar 2, 2022
    • Pension plan clients · 14 to 15
      Aug 17, 2021 to Mar 2, 2022
    • Employees · 6 to 2
      Aug 17, 2021 to Mar 2, 2022
    • State-registered IARs · 4 to 2
      Aug 17, 2021 to Mar 2, 2022
    • Discretionary RAUM · $592M to $656M
      Aug 17, 2021 to Mar 2, 2022
    • HNW RAUM · $372M to $612M
      Aug 17, 2021 to Mar 2, 2022
    • Individual RAUM · $170M to $47.5M
      Aug 17, 2021 to Mar 2, 2022
    • Non-discretionary RAUM · $2.9M to $59.5M
      Aug 17, 2021 to Mar 2, 2022
    • Pension RAUM · $15.9M to $39.2M
      Aug 17, 2021 to Mar 2, 2022
    • RAUM · $594M to $716M
      Aug 17, 2021 to Mar 2, 2022
    • Private funds · unset to 1
      May 28, 2021 to Aug 17, 2021
    • Related adviser · false to true
      May 28, 2021 to Aug 17, 2021
    • Employees · 4 to 6
      Feb 10, 2021 to May 28, 2021
    • Accounts · 627 to 505
      Dec 15, 2020 to Feb 10, 2021
    • Advisory activities · 5 to 6
      Dec 15, 2020 to Feb 10, 2021
    • Charity clients · unset to 10.0
      Dec 15, 2020 to Feb 10, 2021
    • Corporate clients · 7 to 13
      Dec 15, 2020 to Feb 10, 2021
    • HNW clients · 47 to 36
      Dec 15, 2020 to Feb 10, 2021
    • Individual clients · 215 to 170
      Dec 15, 2020 to Feb 10, 2021
    • Pension plan clients · 9 to 14
      Dec 15, 2020 to Feb 10, 2021
    • State-registered IARs · 2 to 4
      Dec 15, 2020 to Feb 10, 2021
    • Discretionary RAUM · $487M to $592M
      Dec 15, 2020 to Feb 10, 2021
    • HNW RAUM · $371M to $372M
      Dec 15, 2020 to Feb 10, 2021
    • Individual RAUM · $168M to $170M
      Dec 15, 2020 to Feb 10, 2021
    • Non-discretionary RAUM · $75.0M to $2.9M
      Dec 15, 2020 to Feb 10, 2021
    • Pension RAUM · $6.0M to $15.9M
      Dec 15, 2020 to Feb 10, 2021
    • RAUM · $562M to $594M
      Dec 15, 2020 to Feb 10, 2021
    Signals
    4 dated events
    • Nicholas Henry Stonnington left Stonnington Group, Llc for Prime Capital Financial (registered 2023-01-04)
      Jun 7, 2023 · Advisor changed firm · fact
    • Nicholas Henry Stonnington left Stonnington Group, Llc for Prime Capital Financial (registered 2023-01-04)
      Jun 7, 2023 · Advisor changed firm · fact
    • 2 advisors left Stonnington Group, LLC (Pasadena, CA) for Prime Capital Financial on the same day
      Jun 7, 2023 · Team lift-out · derived
    • Stonnington Group, Llc reported RAUM $562.0M, up 118% from $257.4M (2019-12-10 to 2020-02-28)
      Feb 28, 2020 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    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