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

Cornerstone

Former SEC-registered adviserReno, NevadaCRD 157861SEC 801-109991IAPD
Legal name Cornerstone Retirement Group, Inc.
Latest filing Mar 13, 2023
First filing on the tape Feb 7, 2017 · 20 filings
RAUM
$364M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$354M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$364M as of Mar 13, 2023
Feb 16, 2018$191M then
HNW client RAUM$215M as of Mar 13, 2023
Feb 16, 2018$68.5M then
State-registered IARs (5.B.3)4 as of Mar 13, 2023
Feb 16, 20184 then
Employees (5.A)11 as of Mar 13, 2023
Feb 16, 20189 then
Private funds: no history
RAUM -36% over the last fiscal year+2.2% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 13, 2023; every figure names its basis
RAUM per advisor
$91.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
146derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$271,103derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-36%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-11%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$30.3M, 75 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)
  • 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$215M59%
  • Individuals$138M38%
  • Corporations and businesses$10.8M3.0%
Individual clients
437reported
HNW clients
146reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,344reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$30.3M for 75 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Kendall Christopher Abts · President & Chief Compliance Officercontrol
      since 06/2011 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Reno, Nv · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,435 to 1,344
      Oct 27, 2022 to Mar 13, 2023
    • Charity clients · 2.0 to unset
      Oct 27, 2022 to Mar 13, 2023
    • Corporate clients · 16 to 11
      Oct 27, 2022 to Mar 13, 2023
    • HNW clients · 208 to 146
      Oct 27, 2022 to Mar 13, 2023
    • Individual clients · 449 to 437
      Oct 27, 2022 to Mar 13, 2023
    • Assets in custody · $93.0M to $30.3M
      Oct 27, 2022 to Mar 13, 2023
    • Employees · 10 to 11
      Oct 27, 2022 to Mar 13, 2023
    • Discretionary RAUM · $572M to $364M
      Oct 27, 2022 to Mar 13, 2023
    • HNW RAUM · $389M to $215M
      Oct 27, 2022 to Mar 13, 2023
    • Individual RAUM · $148M to $138M
      Oct 27, 2022 to Mar 13, 2023
    • RAUM · $572M to $364M
      Oct 27, 2022 to Mar 13, 2023
    • Accounts · 1,359 to 1,435
      May 5, 2021 to Feb 15, 2022
    • Charity clients · unset to 2.0
      May 5, 2021 to Feb 15, 2022
    • Corporate clients · 17 to 16
      May 5, 2021 to Feb 15, 2022
    • HNW clients · 166 to 208
      May 5, 2021 to Feb 15, 2022
    • Individual clients · 426 to 449
      May 5, 2021 to Feb 15, 2022
    • Assets in custody · $70.8M to $93.0M
      May 5, 2021 to Feb 15, 2022
    • Employees · 8 to 10
      May 5, 2021 to Feb 15, 2022
    • Discretionary RAUM · $447M to $572M
      May 5, 2021 to Feb 15, 2022
    • HNW RAUM · $284M to $389M
      May 5, 2021 to Feb 15, 2022
    • Individual RAUM · $133M to $148M
      May 5, 2021 to Feb 15, 2022
    • RAUM · $447M to $572M
      May 5, 2021 to Feb 15, 2022
    • Accounts · 1,179 to 1,359
      Jun 22, 2020 to Mar 16, 2021
    • Corporate clients · 18 to 17
      Jun 22, 2020 to Mar 16, 2021
    • HNW clients · 89 to 166
      Jun 22, 2020 to Mar 16, 2021
    • Individual clients · 471 to 426
      Jun 22, 2020 to Mar 16, 2021
    • Assets in custody · $58.4M to $70.8M
      Jun 22, 2020 to Mar 16, 2021
    • Employees · 9 to 8
      Jun 22, 2020 to Mar 16, 2021
    • State-registered IARs · 5 to 4
      Jun 22, 2020 to Mar 16, 2021
    • Discretionary RAUM · $341M to $447M
      Jun 22, 2020 to Mar 16, 2021
    • HNW RAUM · $126M to $284M
      Jun 22, 2020 to Mar 16, 2021
    • Individual RAUM · $198M to $133M
      Jun 22, 2020 to Mar 16, 2021
    • RAUM · $341M to $447M
      Jun 22, 2020 to Mar 16, 2021
    • Accounts · 993 to 1,179
      Feb 28, 2020 to Mar 9, 2020
    • Corporate clients · unset to 18.0
      Feb 28, 2020 to Mar 9, 2020
    • HNW clients · 45 to 89
      Feb 28, 2020 to Mar 9, 2020
    • Individual clients · 442 to 471
      Feb 28, 2020 to Mar 9, 2020
    • Assets in custody · $5.5M to $58.4M
      Feb 28, 2020 to Mar 9, 2020
    • Discretionary RAUM · $217M to $341M
      Feb 28, 2020 to Mar 9, 2020
    • HNW RAUM · $76.5M to $126M
      Feb 28, 2020 to Mar 9, 2020
    Signals
    14 dated events
    • Curtis Van Slothower left Cornerstone for Prime Capital Financial (registered 2023-03-14)
      Nov 7, 2023 · Advisor changed firm · fact
    • Christopher Kendall Abts left Cornerstone for Prime Capital Financial (registered 2023-03-08)
      Nov 7, 2023 · Advisor changed firm · fact
    • Austin Lee Carroll left Cornerstone for Prime Capital Financial (registered 2023-03-14)
      Nov 7, 2023 · Advisor changed firm · fact
    • Jeffrey Robertson Martin left Cornerstone for Prime Capital Financial (registered 2023-03-14)
      Nov 7, 2023 · Advisor changed firm · fact
    • Cornerstone's advisors moved to Prime Capital Financial (Reno, NV): 4 of 4 registered, on the same day
      Nov 7, 2023 · Firm absorbed (people side) · derived
    • Cornerstone reported RAUM $364.4M, down 36% from $571.6M (2022-10-27 to 2023-03-13)
      Mar 13, 2023 · RAUM change · derived
    • Trinidad John Guillen left Cornerstone for Mutual Advisors, Llc (registered 2022-05-02)
      Mar 25, 2022 · Advisor changed firm · fact
    • Cornerstone reported RAUM $571.6M, up 28% from $447.4M (2021-05-05 to 2022-02-15)
      Feb 15, 2022 · RAUM change · derived
    • John Trinidad Guillen (Chief Investment Officer) no longer on Schedule A of Cornerstone (listed 2021-05-05, absent 2022-02-15)
      Feb 15, 2022 · Control person left · inference
    • Cornerstone reported RAUM $447.4M, up 31% from $341.3M (2020-06-22 to 2021-03-16)
      Mar 16, 2021 · RAUM change · derived
    • Cornerstone reported RAUM $341.3M, up 57% from $217.5M (2020-02-28 to 2020-03-09)
      Mar 9, 2020 · RAUM change · derived
    • Anne Lesley Johnson (Chief Compliance Officer) no longer on Schedule A of Cornerstone (listed 2019-01-09, absent 2019-08-21)
      Aug 21, 2019 · Control person left · inference
    • John Trinidad Guillen (Chief Investment Officer) appeared on Schedule A of Cornerstone
      Jan 9, 2019 · Control person joined · fact
    • Cornerstone Retirement Group, Inc. filed its initial SEC registration (Form ADV)
      Feb 7, 2017 · 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.
    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