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•••• I••••• F•••••••• P•••••••
Legal name S•••• G•••••• C••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 21, 2012 · 28 filings
SEC status approved since Feb 27, 2009
RAUM
$134M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$134M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.0M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$134M as of Mar 26, 2026
Mar 21, 2012$114M then
HNW client RAUM$109M as of Mar 26, 2026
Mar 7, 2018$35.5M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Mar 21, 20120 then
Employees (5.A)4 as of Mar 26, 2026
Mar 28, 20134 then
Private funds1 as of Mar 29, 2022
Mar 21, 20125 then
RAUM -2.3% over the last fiscal year-1.7% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 26, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $67.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $912,031derivedHNW RAUM over HNW clients
- Average account
- $533,825derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $6.5M, 25 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$109M81%
- Individuals$25.5M19%
- Charitable organizations$3220.0%
- Individual clients
- 28reported
- HNW clients
- 119reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 251reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.5M for 25 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• C••••••••• M•••••••• | Scottsdale, Az | Mar 2, 2009 | 24 y | 2 |
| A••• J•••• O••••• | Naperville, Il | Oct 27, 2023 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- K••••••••• D•••• J•••••• to K•• W••••• L••Mar 13, 2026 · RIA to RIA
Joined, latest
- K••••••••• D•••• J•••••• from T•••••• F•••••••• C••••••• I•••Mar 21, 2019 · Other
- M•••••• C••••••••• M•••••••• from M••••• S•••••• • C•• L••Mar 2, 2009 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• P••••••• L•no longer reported | Private Equity Fund | $7.3M | 21 | Mar 21, 2012 |
| S•••• G•••••• F••• L•no longer reported | Hedge Fund | $888,150 | 9 | Mar 21, 2012 |
| S•••• G•••••• M•••• S••••••• F••• L•no longer reported | Hedge Fund | $0 | 0 | Mar 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••••••• M••••••• C••••••••• · Sole Member; Founder, Chief Executive Officer & Chief Compliance Officercontrolsince 02/2009 · owns 75% or more
Related persons
Schedule D 7.A
- R••••••• C•••••• M••••••••• L••investment adviserbankpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Naperville, Il · principal | 2 | 0 | 0 | ||
| Scottsdale, Az | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ2 employees
What changed
consecutive filings, newest first
- Accounts · 258 to 251Mar 27, 2025 to Mar 26, 2026
- Advisory employees · 4 to 3Mar 27, 2025 to Mar 26, 2026
- HNW clients · 118 to 119Mar 27, 2025 to Mar 26, 2026
- Individual clients · 35 to 28Mar 27, 2025 to Mar 26, 2026
- Assets in custody · $6.9M to $6.5MMar 27, 2025 to Mar 26, 2026
- Employees · 5 to 4Mar 27, 2025 to Mar 26, 2026
- State-registered IARs · 3 to 2Mar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $137M to $134MMar 27, 2025 to Mar 26, 2026
- HNW RAUM · $101M to $109MMar 27, 2025 to Mar 26, 2026
- Individual RAUM · $35.6M to $25.5MMar 27, 2025 to Mar 26, 2026
- RAUM · $137M to $134MMar 27, 2025 to Mar 26, 2026
- Accounts · 259 to 258Jan 2, 2025 to Mar 27, 2025
- Advisory employees · 5 to 4Jan 2, 2025 to Mar 27, 2025
- HNW clients · 119 to 118Jan 2, 2025 to Mar 27, 2025
- Individual clients · 33 to 35Jan 2, 2025 to Mar 27, 2025
- Pension plan clients · 1 to 0Jan 2, 2025 to Mar 27, 2025
- Assets in custody · $6.0M to $6.9MJan 2, 2025 to Mar 27, 2025
- Employees · 6 to 5Jan 2, 2025 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Jan 2, 2025 to Mar 27, 2025
- Discretionary RAUM · $135M to $137MJan 2, 2025 to Mar 27, 2025
- HNW RAUM · $105M to $101MJan 2, 2025 to Mar 27, 2025
- Individual RAUM · $29.7M to $35.6MJan 2, 2025 to Mar 27, 2025
- Pension RAUM · $188,466 to $0Jan 2, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · unset to 0.0Jan 2, 2025 to Mar 27, 2025
- RAUM · $135M to $137MJan 2, 2025 to Mar 27, 2025
- Accounts · 274 to 259Nov 9, 2023 to Mar 12, 2024
- HNW clients · 117 to 119Nov 9, 2023 to Mar 12, 2024
- Individual clients · 42 to 33Nov 9, 2023 to Mar 12, 2024
- Pension plan clients · 2 to 1Nov 9, 2023 to Mar 12, 2024
- Assets in custody · $4.5M to $6.0MNov 9, 2023 to Mar 12, 2024
- Discretionary RAUM · $141M to $135MNov 9, 2023 to Mar 12, 2024
- HNW RAUM · $104M to $105MNov 9, 2023 to Mar 12, 2024
- Individual RAUM · $36.5M to $29.7MNov 9, 2023 to Mar 12, 2024
- Pension RAUM · $737,395 to $188,466Nov 9, 2023 to Mar 12, 2024
- RAUM · $141M to $135MNov 9, 2023 to Mar 12, 2024
- Advisory employees · 4 to 5Mar 27, 2023 to Nov 9, 2023
- Employees · 5 to 6Mar 27, 2023 to Nov 9, 2023
- State-registered IARs · 2 to 3Mar 27, 2023 to Nov 9, 2023
- Accounts · 277 to 274Nov 21, 2022 to Mar 27, 2023
- Advisory activities · 4 to 3Nov 21, 2022 to Mar 27, 2023
Signals
2 dated events
- K••••••••• D•••• J•••••• left S•••• I••••• F•••••••• P••••••• for K•• W••••• L•• (registered 2026-03-16)Mar 13, 2026 · Advisor changed firm · fact
- Waters Bruce Anderson (Co-Managing Member) no longer on Schedule A of S•••• I••••• F•••••••• P••••••• (listed 2018-03-07, absent 2019-03-25)Mar 25, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- S•••• I••••• F•••••••• P••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 630-784-2200reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- stoneislandfp.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-784-2200reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- stoneislandfp.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- stoneislandfp.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $67.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026