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••••••••• A••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 29, 2012 · 35 filings
SEC status approved since Feb 18, 2005
RAUM
$12B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.0%
$119M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$2.4B
derived; firm RAUM over IAPD count
Employees
15
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$12B as of Mar 18, 2026
Mar 29, 2012$837M then
HNW client RAUM$50.8M as of Mar 18, 2026
Mar 1, 2018$436M then
State-registered IARs (5.B.3)5 as of Mar 18, 2026
Mar 20, 20135 then
Employees (5.A)15 as of Mar 18, 2026
Mar 20, 201310 then
Private funds: no history
RAUM +9.2% over the last fiscal year+4.0% a year over threeIARs 8 to 5
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
- RAUM per advisor
- $2.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -38%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$10B87%
- Other investment advisers$1.3B11%
- Pension and profit-sharing plans$72.1M0.6%
- Individuals$68.0M0.6%
- High-net-worth individuals$50.8M0.4%
- Charitable organizations$33.3M0.3%
- Corporations and businesses$14.4M0.1%
- Individual clients
- 210reported
- HNW clients
- 11reported
- Pension plan clients
- 11reported
- Charitable clients
- 7reported
- Accounts
- 3,739reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $1.6B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.01 fund_share=0.98 institutional_share=0.01 related_bd=true related_bank=true bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A•••• W••• | Wilton, Ct | Aug 24, 2006 | 25 y | 0 |
| E••• D•••• W••••• | Wilton, Ct | Dec 23, 2013 | 16 y | 0 |
| C••••• S•••••• F•••••• | Wilton, Ct | Jan 16, 2015 | 12 y | 0 |
| S••••• V•••• | Wilton, Ct | Sep 16, 2015 | 11 y | 0 |
| M••••••••• M•••• | Wilton, Ct | Nov 21, 2016 | 11 y | 0 |
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
- M••• S••••• K••••••• to B••••••• • M•••••• L••Sep 8, 2009 · Other
- R••••• L•• D••••••• to F•••• T•••• A••••••• L•May 7, 2009 · Other
Joined, latest
- M••• S••••• K••••••• from B•• M••••• S••••••••• C•••••••••Jun 4, 2007 · Other
- R••••• L•• D••••••• from S••••••••• A•••• M•••••••••Mar 15, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• S••••••• · Chief Compliance Officer & Counselcontrolsince 06/2024 · owns less than 5%
- B••••• J••••• A•••• · Chairman Of The Boardcontrolsince 12/2004 · owns less than 5%
- D••••• J••••• M••••• · Chief Financial Officercontrolsince 01/2016 · owns less than 5%
- F••••••• S••••• T••••• · Chief Executive Officercontrolsince 12/2004 · owns less than 5%
- J••••••• W••••••• S•••• · Secretarycontrolsince 12/2004 · owns less than 5%
- M••••••• D••••• G••••• · Directorcontrolsince 01/2016 · owns less than 5%
- P•••••••• C••••• S•••••• · Directorcontrolsince 07/2007 · owns less than 5%
- B••••• J••••• A•••• · Sole Shareholdercontrolsince 10/2010 · owns 75% or more of A•• V••••••• L••
- F••••••• S••••• T••••• · Ownercontrolsince 01/2003 · owns 75% or more of S••••••••• Asset Management, LLC
- G••••• A•••••• D••••••• · Evp, Pmsince 01/2022 · owns less than 5%
- W•••••• E•••• D•••• · Evp, Pmsince 01/2020 · owns less than 5%
- W•••• R•••••• A•••• · Evp, Ciosince 01/2018 · owns less than 5%
Entity owners
- F•••• T•••• C•••••• P••••••• L•• · Member/Shareholder/Class Adirect · owns 50% to 75%
- S••••••••• A•••• M••••••••• · Member/Shareholder/Class Bdirect · owns 25% to 50%
- A•• V••••••• L•• · Shareholderindirect · owns 75% or more of T•• C•••••• C•••••••••
- T•• C•••••• C••••••••• · Managing Memberindirect · owns F of F•••• T•••• C•••••• P••••••• L••
- T•• C•••••• C••••••••• · General Partnerindirect · owns F of G•••• P••••••• O• D••••• L•••
- G•••• P••••••• O• D••••• L••• · Non-Managing Memberindirect · owns 75% or more of F•••• T•••• C•••••• P••••••• L••
Related persons
Schedule D 7.A
- F•••• T•••• A••••••• L•investment adviserbanknRAUM $309B
- F•••• T•••• C•••••• P••••••• L••y
- F•••• T•••• G••••• P••••••••• L•••investment adviserbanknRAUM $339M
- F•••• T•••• G••••• P••••••••• M••••••••• L••••••pooled vehicle sponsorn
- F•••• T•••• P••••••••• L•••broker-dealerpooled vehicle sponsorn
Advisers that list S••••••••• A••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wilton, Ct · 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
- advisor count dropChange between filings · filing Mar 18, 2026advisory representatives (Item 5.B.3) moved from 8.0 to 5.0 (-38.0%) between the annual amendments of 2025-03-21 and 2026-03-18; the peer median change was 0.0% (33 comparable advisers, 6.0th percentile of changes)peers: asset managers, $5B to $20B (33) · 6.3% percentile
What changed
consecutive filings, newest first
- Accounts · 4,022 to 3,739Mar 21, 2025 to Mar 18, 2026
- Advisory employees · 10 to 9Mar 21, 2025 to Mar 18, 2026
- Corporate clients · 6 to 5Mar 21, 2025 to Mar 18, 2026
- HNW clients · 13 to 11Mar 21, 2025 to Mar 18, 2026
- Individual clients · 234 to 210Mar 21, 2025 to Mar 18, 2026
- Employees · 17 to 15Mar 21, 2025 to Mar 18, 2026
- State-registered IARs · 8 to 5Mar 21, 2025 to Mar 18, 2026
- Discretionary RAUM · $11B to $12BMar 21, 2025 to Mar 18, 2026
- HNW RAUM · $56.2M to $50.8MMar 21, 2025 to Mar 18, 2026
- Individual RAUM · $72.7M to $68.0MMar 21, 2025 to Mar 18, 2026
- Pension RAUM · $68.2M to $72.1MMar 21, 2025 to Mar 18, 2026
- RAUM · $11B to $12BMar 21, 2025 to Mar 18, 2026
- Wrap assets (manager) · $1.6B to $1.6BMar 21, 2025 to Mar 18, 2026
- Accounts · 4,104 to 4,022Oct 17, 2024 to Mar 21, 2025
- BD registered reps · 0 to 1Oct 17, 2024 to Mar 21, 2025
- Charity clients · 8 to 7Oct 17, 2024 to Mar 21, 2025
- Corporate clients · 43 to 6Oct 17, 2024 to Mar 21, 2025
- HNW clients · 16 to 13Oct 17, 2024 to Mar 21, 2025
- Individual clients · 250 to 234Oct 17, 2024 to Mar 21, 2025
- Pension plan clients · 0 to 11Oct 17, 2024 to Mar 21, 2025
- Financial planning clients · unset to Oct 17, 2024 to Mar 21, 2025
- State-registered IARs · 9 to 8Oct 17, 2024 to Mar 21, 2025
- Discretionary RAUM · $10B to $11BOct 17, 2024 to Mar 21, 2025
- HNW RAUM · $74.5M to $56.2MOct 17, 2024 to Mar 21, 2025
- Individual RAUM · $76.3M to $72.7MOct 17, 2024 to Mar 21, 2025
- Pension RAUM · $0 to $68.2MOct 17, 2024 to Mar 21, 2025
- RAUM · $10B to $11BOct 17, 2024 to Mar 21, 2025
- Wrap assets (manager) · $1.6B to $1.6BOct 17, 2024 to Mar 21, 2025
- Accounts · 4,417 to 4,104Apr 26, 2023 to Mar 22, 2024
- Charity clients · 10 to 8Apr 26, 2023 to Mar 22, 2024
- Corporate clients · 44 to 43Apr 26, 2023 to Mar 22, 2024
- HNW clients · 28 to 16Apr 26, 2023 to Mar 22, 2024
- Individual clients · 299 to 250Apr 26, 2023 to Mar 22, 2024
- State-registered IARs · 8 to 9Apr 26, 2023 to Mar 22, 2024
- Discretionary RAUM · $11B to $10BApr 26, 2023 to Mar 22, 2024
- HNW RAUM · $366M to $74.5MApr 26, 2023 to Mar 22, 2024
- Individual RAUM · $91.1M to $76.3MApr 26, 2023 to Mar 22, 2024
- RAUM · $11B to $10BApr 26, 2023 to Mar 22, 2024
- Wrap assets (manager) · $1.9B to $1.6BApr 26, 2023 to Mar 22, 2024
- Wrap assets (manager) · $3,316 to $1.9BMar 31, 2023 to Apr 26, 2023
Signals
8 dated events
- Samantha Addonizio (Chief Compliance Officer & Counsel) appeared on Schedule A of S••••••••• A••••••• L••Jun 12, 2024 · Control person joined · fact
- Katzen Abigail Mooney (Chief Compliance Officer) no longer on Schedule A of S••••••••• A••••••• L•• (listed 2023-03-31, absent 2023-04-26)Apr 26, 2023 · Control person left · inference
- S••••••••• A••••••• L•• reported RAUM $10.5B, down 27% from $14.4B (2023-01-03 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Gerard David Mcgarel (Director) appeared on Schedule A of S••••••••• A••••••• L••Mar 31, 2023 · Control person joined · fact
- Katzen Abigail Mooney (Chief Compliance Officer) appeared on Schedule A of S••••••••• A••••••• L••Jan 3, 2023 · Control person joined · fact
- Lane Stephen De Vore (Chief Compliance Officer) no longer on Schedule A of S••••••••• A••••••• L•• (listed 2022-03-03, absent 2023-01-03)Jan 3, 2023 · Control person left · inference
- S••••••••• A••••••• L•• reported RAUM $10.5B, up 40% from $7.5B (2019-01-24 to 2020-03-17)Mar 17, 2020 · RAUM change · derived
- S••••••••• A••••••• L•• reported RAUM $8.2B, up 33% from $6.2B (2017-08-18 to 2018-03-01)Mar 1, 2018 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/stonebridge-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••••••FT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-762-0004reportedpublic record, Form ADV, Mar 18, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026