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
Sage Stone Wealth Management LLC
Latest filing Mar 16, 2026
First filing on the tape Mar 29, 2012 · 22 filings
SEC status approved since Apr 17, 2015
RAUM
$261M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
88%
$229M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$87.1M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$261M as of Mar 16, 2026
Mar 29, 2012$42.9M then
HNW client RAUM$210M as of Mar 16, 2026
Mar 29, 2018$119M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Mar 29, 20120 then
Employees (5.A)4 as of Mar 16, 2026
Mar 22, 20162 then
Private funds: no history
RAUM +13% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $87.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $574,604derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, otherreportedItem 5.G
- Custody
- $7.5M, 5 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$210M80%
- Charitable organizations$24.0M9.2%
- Individuals$19.1M7.3%
- Pension and profit-sharing plans$6.4M2.5%
- Corporations and businesses$2.1M0.8%
- Individual clients
- 56reported
- HNW clients
- 56reported
- Pension plan clients
- 3reported
- Charitable clients
- 9reported
- Accounts
- 455reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.5M for 5 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Roy Michael Lopez | La Jolla, Ca | Jan 20, 2012 | 25 y | 1 |
| Ethan James Senn | La Jolla, Ca | Jun 6, 2024 | 12 y | 0 |
| Mary Naber | La Jolla, Ca | Mar 27, 2026 | 24 y | 2 |
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
- Aaron Michael Herrscher to Financial Sense Advisors, Inc.Jul 17, 2020 · RIA to RIA
Joined, latest
- Roy Michael Lopez from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 20, 2012 · Other
- Mary Naber from Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 5, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mary Naber · Managing Member, President, And Chief Compliance Officercontrolsince 11/2010 · owns 75% or more
- Michael Roy Lopez · Vice Presidentsince 06/2022 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| La Jolla, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 424 to 455Mar 31, 2025 to Mar 16, 2026
- Charity clients · 8 to 9Mar 31, 2025 to Mar 16, 2026
- HNW clients · 54 to 56Mar 31, 2025 to Mar 16, 2026
- Individual clients · 55 to 56Mar 31, 2025 to Mar 16, 2026
- Pension plan clients · 2 to 3Mar 31, 2025 to Mar 16, 2026
- Assets in custody · $7.5M to $7.5MMar 31, 2025 to Mar 16, 2026
- Employees · 5 to 4Mar 31, 2025 to Mar 16, 2026
- Discretionary RAUM · $223M to $253MMar 31, 2025 to Mar 16, 2026
- HNW RAUM · $189M to $210MMar 31, 2025 to Mar 16, 2026
- Individual RAUM · $15.2M to $19.1MMar 31, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $7.6M to $8.2MMar 31, 2025 to Mar 16, 2026
- Pension RAUM · $5.1M to $6.4MMar 31, 2025 to Mar 16, 2026
- RAUM · $230M to $261MMar 31, 2025 to Mar 16, 2026
- Accounts · 409 to 424Nov 26, 2024 to Mar 31, 2025
- Advisory employees · 2 to 3Nov 26, 2024 to Mar 31, 2025
- Advisory activities · 5 to 4Nov 26, 2024 to Mar 31, 2025
- Charity clients · 6 to 8Nov 26, 2024 to Mar 31, 2025
- Corporate clients · 1 to 2Nov 26, 2024 to Mar 31, 2025
- HNW clients · 51 to 54Nov 26, 2024 to Mar 31, 2025
- Individual clients · 54 to 55Nov 26, 2024 to Mar 31, 2025
- Assets in custody · $4.1M to $7.5MNov 26, 2024 to Mar 31, 2025
- Employees · 4 to 5Nov 26, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 1-10Nov 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $193M to $223MNov 26, 2024 to Mar 31, 2025
- HNW RAUM · $162M to $189MNov 26, 2024 to Mar 31, 2025
- Individual RAUM · $15.2M to $15.2MNov 26, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $5.8M to $7.6MNov 26, 2024 to Mar 31, 2025
- Pension RAUM · $2.7M to $5.1MNov 26, 2024 to Mar 31, 2025
- RAUM · $199M to $230MNov 26, 2024 to Mar 31, 2025
- Accounts · 362 to 409Feb 2, 2024 to Mar 29, 2024
- Advisory employees · 3 to 2Feb 2, 2024 to Mar 29, 2024
- Charity clients · 4 to 6Feb 2, 2024 to Mar 29, 2024
- HNW clients · 47 to 51Feb 2, 2024 to Mar 29, 2024
- Individual clients · 53 to 54Feb 2, 2024 to Mar 29, 2024
- Pension plan clients · 1 to 2Feb 2, 2024 to Mar 29, 2024
- Assets in custody · $10.4M to $4.1MFeb 2, 2024 to Mar 29, 2024
- Employees · 3 to 4Feb 2, 2024 to Mar 29, 2024
- Discretionary RAUM · $163M to $193MFeb 2, 2024 to Mar 29, 2024
- HNW RAUM · $146M to $162MFeb 2, 2024 to Mar 29, 2024
- Individual RAUM · $12.2M to $15.2MFeb 2, 2024 to Mar 29, 2024
Signals
1 dated events
- King & Co. Investment Counsel Llc filed its initial SEC registration (Form ADV)Apr 6, 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
- Business phone
- 858-412-6404reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 858-605-9608reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/sage-stone-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- SAGESTONEWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-412-6404reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- sagestonewealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- sagestonewealth.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $87.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026