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

Stone Harbor Investment Partners, LLC

Former SEC-registered adviserNew York, New YorkCRD 138960SEC 801-65397IAPD
Latest filing Apr 22, 2022
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$15B
reported, Item 5.F
Discretionary
98%
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
83
31 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
5
$1.9B gross assets
History
19 filings and snapshots on the tape
RAUM$15B as of Mar 31, 2022
Mar 30, 2012$40B then
HNW client RAUM$0 as of Mar 31, 2022
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 28, 20139 then
Employees (5.A)83 as of Mar 31, 2022
Mar 28, 2013129 then
Private funds5 as of Mar 31, 2022
Mar 30, 20121 then
RAUM -12% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 22, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$208MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
54%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-12%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$40.7M, 1 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$6.1B42%
  • Pooled investment vehicles$3.6B25%
  • Investment companies$2.7B18%
  • Sovereign wealth funds$969M6.7%
  • State and municipal entities$426M2.9%
  • Insurance companies$416M2.9%
  • Charitable organizations$140M1.0%
  • Corporations and businesses$128M0.9%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
12reported
Charitable clients
n/areported
Accounts
72reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$40.7M for 1 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Stone Harbor Investment Funds Plc - Stone Harbor Emerging Markets Corporate Debt Fundno longer reportedOther Private Fund$322M14Mar 27, 2014
      Stone Harbor Global Funds Plc - Stone Harbor Libor Multi-Strategy (No. 2) Portfoliono longer reportedOther Private Fund$268M3Mar 30, 2016
      Stone Harbor Global Funds Plc - Stone Harbor Global Diversified Credit (No. 1) Portfoliono longer reportedOther Private Fund$210M2Mar 27, 2014
      Stone Harbor Global Funds Plc - Stone Harbor Emerging Markets Debt Blend (No. 2) Portfoliono longer reportedOther Private Fund$153M2Mar 30, 2015
      Stone Harbor Global Funds Plc - Stone Harbor Leveraged Loan Portfoliono longer reportedOther Private Fund$140M9Mar 27, 2014
      Stone Harbor Global Funds Plc - Stone Harbor Global Aggregate Total Return Portfoliono longer reportedOther Private Fund$50.0M1Mar 27, 2014
      Stone Harbor Global Funds Plc - Stone Harbor European High Yield Bond Portfoliono longer reportedOther Private Fund$28.0M2Mar 27, 2014
      Stone Harbor Global Funds Plc - Stone Harbor Global Aggregate Total Return PortfolioOther Private Fund$5.4M4Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • Aaron Michael Angerthal · Executive Vice Presidentcontrol
        since 01/2022 · owns less than 5%
      • Robert George Aylward · Presidentcontrol
        since 01/2022 · owns less than 5%
      • Edmon James Craige · Co-Chief Investment Officercontrol
        since 12/2018 · owns less than 5%
      • Jacqueline Wendy Hills · Executive Vice President, General Counsel And Secretarycontrol
        since 01/2022 · owns less than 5%
      • Phillip Darren Recupero · Chief Operations Officercontrol
        since 07/2019 · owns less than 5%
      • Stuart Jeffrey Scott · Chief Compliance Officercontrol
        since 04/2006 · owns less than 5%
      • William Richard Smirl · Executive Vice Presidentcontrol
        since 01/2022 · owns less than 5%
      • John Peter Wilby · Co-Chief Investment Officer And Vice Chaircontrol
        since 12/2005 · owns less than 5%
      Entity owners
      • Virtus Partners, Inc. · Sole Member
        direct · owns 75% or more
      • Virtus Investment Partners, Inc. · Sole Shareholder
        indirect · owns 75% or more of Virtus Partners, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Stone Harbor Investment Partners, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom10 employees
      • Singapore, Singapore2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 90 to 72
        Jan 10, 2022 to Mar 31, 2022
      • Advisory employees · 33 to 31
        Jan 10, 2022 to Mar 31, 2022
      • BD registered reps · 36 to 26
        Jan 10, 2022 to Mar 31, 2022
      • Business name · STONE HARBOR INVESTMENT PARTNERS LP to STONE HARBOR INVESTMENT PARTNERS, LLC
        Jan 10, 2022 to Mar 31, 2022
      • Pension plan clients · 18 to 12
        Jan 10, 2022 to Mar 31, 2022
      • Pooled vehicle clients · 39 to 30
        Jan 10, 2022 to Mar 31, 2022
      • Assets in custody · $38.9M to $40.7M
        Jan 10, 2022 to Mar 31, 2022
      • Employees · 103 to 83
        Jan 10, 2022 to Mar 31, 2022
      • Legal name · STONE HARBOR INVESTMENT PARTNERS LP to STONE HARBOR INVESTMENT PARTNERS, LLC
        Jan 10, 2022 to Mar 31, 2022
      • Private funds · 6 to 5
        Jan 10, 2022 to Mar 31, 2022
      • Discretionary RAUM · $17B to $15B
        Jan 10, 2022 to Mar 31, 2022
      • Non-discretionary RAUM · $299M to $269M
        Jan 10, 2022 to Mar 31, 2022
      • Pension RAUM · $6.0B to $6.1B
        Jan 10, 2022 to Mar 31, 2022
      • Pooled vehicle RAUM · $4.6B to $3.6B
        Jan 10, 2022 to Mar 31, 2022
      • RAUM · $17B to $15B
        Jan 10, 2022 to Mar 31, 2022
      • Succession · true to false
        Jan 10, 2022 to Mar 31, 2022
      • Organization form · Limited Partnership to Limited Liability Company
        Mar 31, 2021 to Jan 10, 2022
      • Related broker-dealer · false to true
        Mar 31, 2021 to Jan 10, 2022
      • Succession · false to true
        Mar 31, 2021 to Jan 10, 2022
      • Accounts · 114 to 90
        Apr 29, 2020 to Mar 31, 2021
      • Advisory employees · 32 to 33
        Apr 29, 2020 to Mar 31, 2021
      • BD registered reps · 33 to 36
        Apr 29, 2020 to Mar 31, 2021
      • Charity clients · 4.0 to unset
        Apr 29, 2020 to Mar 31, 2021
      • Pension plan clients · 28 to 18
        Apr 29, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 43 to 39
        Apr 29, 2020 to Mar 31, 2021
      • Assets in custody · $105M to $38.9M
        Apr 29, 2020 to Mar 31, 2021
      • Employees · 107 to 103
        Apr 29, 2020 to Mar 31, 2021
      • State-registered IARs · 7 to 0
        Apr 29, 2020 to Mar 31, 2021
      • Other offices · 4 to 2
        Apr 29, 2020 to Mar 31, 2021
      • Private funds · 7 to 6
        Apr 29, 2020 to Mar 31, 2021
      • Discretionary RAUM · $20B to $17B
        Apr 29, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $296M to $299M
        Apr 29, 2020 to Mar 31, 2021
      • Pension RAUM · $6.9B to $6.0B
        Apr 29, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $6.2B to $4.6B
        Apr 29, 2020 to Mar 31, 2021
      • RAUM · $21B to $17B
        Apr 29, 2020 to Mar 31, 2021
      • Accounts · 143 to 114
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 49 to 32
        Mar 29, 2019 to Mar 30, 2020
      • BD registered reps · 41 to 33
        Mar 29, 2019 to Mar 30, 2020
      • Charity clients · 5 to 4
        Mar 29, 2019 to Mar 30, 2020
      • Pension plan clients · 51 to 28
        Mar 29, 2019 to Mar 30, 2020
      Signals
      7 dated events
      • Stone Harbor Investment Partners Lp reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 10, 2022 · Succession (Item 4) · fact
      • J Adam Shapiro (General Counsel) no longer on Schedule A of Stone Harbor Investment Partners, Llc (listed 2021-03-31, absent 2022-01-10)
        Jan 10, 2022 · Control person left · inference
      • Robert George Aylward (President) appeared on Schedule A of Stone Harbor Investment Partners, Llc
        Jan 10, 2022 · Control person joined · fact
      • Aaron Michael Angerthal (Executive Vice President) appeared on Schedule A of Stone Harbor Investment Partners, Llc
        Jan 10, 2022 · Control person joined · fact
      • Jacqueline Wendy Hills (Executive Vice President, General Counsel And Secretary) appeared on Schedule A of Stone Harbor Investment Partners, Llc
        Jan 10, 2022 · Control person joined · fact
      • William Richard Smirl (Executive Vice President) appeared on Schedule A of Stone Harbor Investment Partners, Llc
        Jan 10, 2022 · Control person joined · fact
      • Edmon James Craige (Co-Chief Investment Officer) appeared on Schedule A of Stone Harbor Investment Partners, Llc
        Jan 7, 2019 · 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