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.
SEC-registered adviser
Stone House Investment Management, LLC
Latest filing Jul 30, 2026
First filing on the tape Feb 1, 2012 · 47 filings
SEC status approved since Dec 17, 2015
RAUM
$842M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$829M individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$46.8M
derived; firm RAUM over IAPD count
Employees
18
17 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$842M as of Jul 30, 2026
Feb 1, 2012$43.4M then
HNW client RAUM$507M as of Jul 30, 2026
Mar 7, 2018$108M then
State-registered IARs (5.B.3)17 as of Jul 30, 2026
Mar 22, 20165 then
Employees (5.A)18 as of Jul 30, 2026
Mar 22, 20166 then
Private funds: no history
RAUM +26% over the last fiscal year+28% a year over threeIARs 14 to 17offices 6 to 5
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $46.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $297,097derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +21%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $86.3M, 91 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$507M60%
- Individuals$322M38%
- Corporations and businesses$11.8M1.4%
- Charitable organizations$1.2M0.1%
- Individual clients
- 900reported
- HNW clients
- 253reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 2,833reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $86.3M for 91 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Jeffrey BrownCertified Financial Planner | Tunkhannock, Pa | Feb 27, 2006 | 28 y | 1 |
| Raymond Scott Stone | Tunkhannock, Pa | Feb 27, 2006 | 23 y | 2 |
| John Michael Burke | Tunkhannock, Pa | Mar 17, 2008 | 18 y | 0 |
| Christine Marie Slusark | Tunkhannock, Pa | Aug 5, 2010 | 27 y | 0 |
| Kirk Atwood Lunger | Tunkhannock, Pa | Mar 6, 2014 | 12 y | 0 |
| Barbara Reba Grimaud | Tunkhannock, Pa | May 18, 2018 | 13 y | 0 |
| Chad Marvin TaakeCertified Financial Planner | Cincinnati, Oh | Jun 4, 2018 | 22 y | 0 |
| Benjamin Miles Robinson | Tunkhannock, Pa | Oct 9, 2020 | 10 y | 0 |
| Michael Cravath | Tunkhannock, Pa | Oct 28, 2020 | 16 y | 1 |
| Ryan Vassil | Tunkhannock, Pa | Nov 2, 2020 | 10 y | 0 |
| Kathryn Johnston | Tunkhannock, Pa | Apr 25, 2023 | 10 y | 3 |
| Larry David AldersonCertified Financial Planner | Tunkhannock, Pa | Sep 20, 2023 | 29 y | 4 |
| Jennifer May Schultz | Tunkhannock, Pa | May 7, 2024 | 25 y | 0 |
| Todd Fisher Monahan | Tunkhannock, Pa | Aug 21, 2024 | 12 y | 0 |
| Zachary Nicholas Polovitch | Tunkhannock, Pa | Jun 18, 2025 | 12 y | 0 |
| Aidan Robert Brown | Tunkhannock, Pa | Sep 24, 2025 | 12 y | 0 |
| Kurtis Royce Medeiros | Tunkhannock, Pa | Nov 5, 2025 | 18 y | 1 |
| Clay Eubanks | Jackson, Mo | Jun 22, 2026 | 20 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Ronald David Williamson to Partnervest Advisory Services LLCApr 29, 2009 · Other
- Kevin Owen Ekstrom to Partnervest Advisory Services LLCApr 29, 2009 · Other
- Nicholas Peter Millard to Partnervest Advisory Services LLCApr 29, 2009 · Other
Joined, latest
- Clay Eubanks from Thrivent Investment Management Inc.Jun 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- Kurtis Royce Medeiros from LPL Financial LLCNov 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- Larry David Alderson from LPL Financial LLCSep 20, 2023 · Affiliated broker-dealer or bank to independent RIA
- Kathryn Johnston from LPL Financial LLCApr 25, 2023 · Affiliated broker-dealer or bank to independent RIA
- Michael Cravath from Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 28, 2020 · Wirehouse to independent RIA
- Ronald David Williamson from Equitable Advisors, LLCJul 17, 2007 · Other
- Raymond Scott Stone from Robert J. Brown, CFPFeb 27, 2006 · Other
- Robert Jeffrey Brown from Pan-American Investment Advisers, Inc.Feb 27, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jeffrey Robert Brown · Managing Membercontrolsince 04/2007 · owns 25% to 50%
- Michael John Burke · Managing Membercontrolsince 01/2015 · owns 10% to 25%
- Scott Raymond Stone · Managing Member, Chief Compliance Officercontrolsince 04/2007 · owns 25% to 50%
- Atwood Kirk Lunger · Partnersince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
- Barbara Grimaudn
- Stone House Tax, Business & Municipal Accounting, LLCinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tunkhannock, Pa · principal | 18 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Cape Girardeau, MO1 employees
- Cincinnati, OH1 employees
- Sayre, PA1 employees
- Towanda, PA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 6 to 5Mar 18, 2026 to Jul 30, 2026
- Accounts · 2,461 to 2,833Jul 22, 2025 to Mar 18, 2026
- Advisory employees · 13 to 17Jul 22, 2025 to Mar 18, 2026
- Corporate clients · 12 to 16Jul 22, 2025 to Mar 18, 2026
- HNW clients · 243 to 253Jul 22, 2025 to Mar 18, 2026
- Individual clients · 758 to 900Jul 22, 2025 to Mar 18, 2026
- Assets in custody · $69.7M to $86.3MJul 22, 2025 to Mar 18, 2026
- Employees · 16 to 18Jul 22, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 1-10Jul 22, 2025 to Mar 18, 2026
- State-registered IARs · 14 to 17Jul 22, 2025 to Mar 18, 2026
- Discretionary RAUM · $670M to $836MJul 22, 2025 to Mar 18, 2026
- HNW RAUM · $424M to $507MJul 22, 2025 to Mar 18, 2026
- Individual RAUM · $236M to $322MJul 22, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $0 to $6.0MJul 22, 2025 to Mar 18, 2026
- RAUM · $670M to $842MJul 22, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 0Mar 24, 2025 to Jul 22, 2025
- Accounts · 2,072 to 2,461Oct 14, 2024 to Mar 24, 2025
- Advisory employees · 12 to 13Oct 14, 2024 to Mar 24, 2025
- Charity clients · unset to 2.0Oct 14, 2024 to Mar 24, 2025
- Corporate clients · 10 to 12Oct 14, 2024 to Mar 24, 2025
- HNW clients · 220 to 243Oct 14, 2024 to Mar 24, 2025
- Individual clients · 611 to 758Oct 14, 2024 to Mar 24, 2025
- Assets in custody · $74.0M to $69.7MOct 14, 2024 to Mar 24, 2025
- Employees · 17 to 16Oct 14, 2024 to Mar 24, 2025
- State-registered IARs · 12 to 14Oct 14, 2024 to Mar 24, 2025
- Other offices · 5 to 6Oct 14, 2024 to Mar 24, 2025
- Discretionary RAUM · $545M to $670MOct 14, 2024 to Mar 24, 2025
- HNW RAUM · $361M to $424MOct 14, 2024 to Mar 24, 2025
- Individual RAUM · $176M to $236MOct 14, 2024 to Mar 24, 2025
- RAUM · $545M to $670MOct 14, 2024 to Mar 24, 2025
- Advisory employees · 10 to 12Nov 6, 2023 to Mar 22, 2024
- Charity clients · 4.0 to unsetNov 6, 2023 to Mar 22, 2024
- Corporate clients · 1 to 10Nov 6, 2023 to Mar 22, 2024
- HNW clients · 115 to 220Nov 6, 2023 to Mar 22, 2024
- Individual clients · 575 to 611Nov 6, 2023 to Mar 22, 2024
- Assets in custody · unset to 73985769.0Nov 6, 2023 to Mar 22, 2024
- Custody of client assets · false to trueNov 6, 2023 to Mar 22, 2024
- Employees · 13 to 17Nov 6, 2023 to Mar 22, 2024
- Financial planning clients · 251-500 to 0Nov 6, 2023 to Mar 22, 2024
- State-registered IARs · 10 to 12Nov 6, 2023 to Mar 22, 2024
Signals
4 dated events
- Stone House Investment Management, Llc reported RAUM $841.7M, up 26% from $669.9M (2025-07-22 to 2026-03-18)Mar 18, 2026 · RAUM change · derived
- Stone House Investment Management, Llc reported RAUM $544.5M, up 36% from $401.5M (2023-11-06 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- Stone House Investment Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 21, 2022 · Succession (Item 4) · fact
- Stone House Investment Management, Llc filed its initial SEC registration (Form ADV)Nov 18, 2015 · First SEC registration · fact
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/stone-house-investment-management-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- stonehouseinv.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (570) 836-7020reportedpublic record, Form ADV, Jul 30, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $46.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026