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

Stephen Jones Capital Management, Inc.

Former SEC-registered adviserAustin, TexasCRD 133939SEC 801-66199IAPD
Latest filing Dec 4, 2012
First filing on the tape Feb 28, 2012 · 4 filings
RAUM
$6.5M
reported, Item 5.F
Discretionary
8.9%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$6.5M as of Dec 4, 2012
Feb 28, 2012$6.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Dec 4, 2012
Feb 28, 20120 then
Employees (5.A): 3
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 4, 2012; every figure names its basis
RAUM per advisor
$2.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$324,171derivedRAUM over accounts (5.F.2.f)
Discretionary
8.9%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
3.0derived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
20reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Martin Stephen Jones · Chairman, Chief Investment Officer, Chief Compliance Officercontrol
    since 11/1997 · owns less than 5%
  • Rex John Jones · Trustee Of The Smj Loyal Trustcontrol
    since 02/1989 · owns F of Smj Loyal Trust
  • Martin Stephen Jones · 100% Beneficiary Of The Smj Loyal Trust; Trustee Of The Smj Loyal Trustcontrol
    since 02/1989 · owns F of Smj Loyal Trust
  • Edward Thomas Villalta · Shareholder
    since 09/1999 · owns 10% to 25%
Entity owners
  • Smj Loyal Trust · 90% Shareholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list Stephen Jones Capital Management, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · unset to 3.0
    Sep 19, 2012 to Dec 4, 2012
  • BD registered reps · 0 to 1
    Sep 19, 2012 to Dec 4, 2012
  • Employees · unset to 3.0
    Sep 19, 2012 to Dec 4, 2012
  • State-registered IARs · 0 to 3
    Sep 19, 2012 to Dec 4, 2012
  • Insurance-licensed employees · 4 to 3
    Aug 21, 2012 to Sep 19, 2012
Signals
No event on the tape.
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