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
Stewart Capital Advisors, LLC
Latest filing Mar 14, 2024
First filing on the tape Mar 22, 2012 · 24 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
5.1%
$56.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.1B as of Mar 14, 2024
Mar 22, 2012$965M then
HNW client RAUM$54.7M as of Mar 14, 2024
Mar 26, 2018$36.2M then
State-registered IARs (5.B.3)4 as of Mar 14, 2024
Mar 22, 20120 then
Employees (5.A)10 as of Mar 14, 2024
Mar 27, 201320 then
Private funds: no history
RAUM -12% over the last fiscal year+2.1% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 14, 2024; every figure names its basis
- RAUM per advisor
- $274MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$876M80%
- Corporations and businesses$76.7M7.0%
- State and municipal entities$58.3M5.3%
- High-net-worth individuals$54.7M5.0%
- Charitable organizations$23.5M2.2%
- Insurance companies$4.4M0.4%
- Individuals$1.4M0.1%
- Individual clients
- n/areported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 1,090reported
- Financial planning clients
- 0reported
- 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
- Nicholas J Westrick to Ameriprise Financial Services, LLCOct 16, 2024 · Other
- Malcolm Emerson Polley to Stratos Investment Management, LLCJan 4, 2024 · Other
- Richard Joseph Scotti to Ameriprise Financial Services, LLCJul 26, 2023 · Other
- Richard Joseph Scotti to Pnc Capital Advisors LLCOct 13, 2014 · Other
Joined, latest
- Richard Joseph Scotti from Ameriprise Financial Services, LLCJan 19, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Van Doren Jason Forman · Ceocontrolsince 07/2021 · owns less than 5%
- Tracy Charles Mcgortey · Chief Compliance Officersince 06/2021 · owns less than 5%
Entity owners
- S&T Bank · Memberdirect · owns 75% or more
- S&T Bancorp, Inc. · Shareholderindirect · owns 75% or more of S&T Bank · public reporting company
Related persons
Schedule D 7.A
- S&T Bancorp.custodiany
- S&T Evergreen Insurancereal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Indiana, Pa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,136 to 1,090Jan 11, 2024 to Mar 14, 2024
- Advisory employees · 5 to 4Jan 11, 2024 to Mar 14, 2024
- BD registered reps · 0 to 2Jan 11, 2024 to Mar 14, 2024
- Charity clients · 11 to 10Jan 11, 2024 to Mar 14, 2024
- Corporate clients · 19 to 15Jan 11, 2024 to Mar 14, 2024
- HNW clients · 14 to 13Jan 11, 2024 to Mar 14, 2024
- Employees · 11 to 10Jan 11, 2024 to Mar 14, 2024
- Insurance-licensed employees · 0 to 2Jan 11, 2024 to Mar 14, 2024
- State-registered IARs · 5 to 4Jan 11, 2024 to Mar 14, 2024
- Discretionary RAUM · $1.2B to $1.1BJan 11, 2024 to Mar 14, 2024
- HNW RAUM · $102M to $54.7MJan 11, 2024 to Mar 14, 2024
- Individual RAUM · $1.8M to $1.4MJan 11, 2024 to Mar 14, 2024
- RAUM · $1.2B to $1.1BJan 11, 2024 to Mar 14, 2024
- Accounts · 1,172 to 1,136Mar 29, 2022 to Mar 28, 2023
- Advisory employees · 7 to 5Mar 29, 2022 to Mar 28, 2023
- Charity clients · 6 to 11Mar 29, 2022 to Mar 28, 2023
- Corporate clients · 7 to 19Mar 29, 2022 to Mar 28, 2023
- HNW clients · 10 to 14Mar 29, 2022 to Mar 28, 2023
- Employees · 10 to 11Mar 29, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.2B to $1.2BMar 29, 2022 to Mar 28, 2023
- HNW RAUM · $32.2M to $102MMar 29, 2022 to Mar 28, 2023
- Individual RAUM · $1.2M to $1.8MMar 29, 2022 to Mar 28, 2023
- RAUM · $1.2B to $1.2BMar 29, 2022 to Mar 28, 2023
- Accounts · 1,174 to 1,172Jun 30, 2021 to Mar 29, 2022
- Charity clients · 7 to 6Jun 30, 2021 to Mar 29, 2022
- Corporate clients · 6 to 7Jun 30, 2021 to Mar 29, 2022
- Employees · 12 to 10Jun 30, 2021 to Mar 29, 2022
- Other offices · 1 to 0Jun 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.0B to $1.2BJun 30, 2021 to Mar 29, 2022
- HNW RAUM · $29.9M to $32.2MJun 30, 2021 to Mar 29, 2022
- Individual RAUM · $2.1M to $1.2MJun 30, 2021 to Mar 29, 2022
- RAUM · $1.0B to $1.2BJun 30, 2021 to Mar 29, 2022
- Accounts · 1,530 to 1,174Jun 29, 2020 to Mar 31, 2021
- Corporate clients · 5 to 6Jun 29, 2020 to Mar 31, 2021
- Employees · 11 to 12Jun 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $967M to $1.0BJun 29, 2020 to Mar 31, 2021
- HNW RAUM · $27.8M to $29.9MJun 29, 2020 to Mar 31, 2021
- Individual RAUM · $2.1M to $2.1MJun 29, 2020 to Mar 31, 2021
- RAUM · $967M to $1.0BJun 29, 2020 to Mar 31, 2021
- Accounts · 1,009 to 1,530Mar 26, 2019 to Mar 26, 2020
Signals
5 dated events
- Nicholas J Westrick left Stewart Capital Advisors, Llc for Ameriprise Financial Services, Llc (registered 2023-10-31)Oct 16, 2024 · Advisor changed firm · fact
- Emerson Malcolm Polley (President & Chief Investment Officer) no longer on Schedule A of Stewart Capital Advisors, Llc (listed 2023-03-28, absent 2024-01-11)Jan 11, 2024 · Control person left · inference
- Malcolm Emerson Polley left Stewart Capital Advisors, Llc for Stratos Investment Management, Llc (registered 2024-01-08)Jan 4, 2024 · Advisor changed firm · fact
- Richard Joseph Scotti left Stewart Capital Advisors, Llc for Ameriprise Financial Services, Llc (registered 2023-08-08)Jul 26, 2023 · Advisor changed firm · fact
- Van Doren Jason Forman (Ceo) appeared on Schedule A of Stewart Capital Advisors, LlcMar 29, 2022 · 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