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
Stringer Asset Management, LLC
Latest filing Mar 31, 2025
First filing on the tape Nov 20, 2012 · 30 filings
SEC status approved since Feb 1, 2013
RAUM
$42.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
46%
$19.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$42.2M as of Mar 31, 2025
Feb 27, 2014$125M then
HNW client RAUM$8.0M as of Mar 28, 2024
Mar 23, 2018$5.2M then
State-registered IARs (5.B.3)5 as of Mar 31, 2025
Feb 27, 20144 then
Employees (5.A)6 as of Mar 31, 2025
Feb 27, 20144 then
Private funds: no history
RAUM -12% over the last fiscal year-13% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- $8.4MderivedRAUM 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
- $586,322derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$22.6M54%
- Individuals$19.6M46%
- Individual clients
- 57reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 72reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $18.4M managedreported
- Custody of client assets
- noreported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
- Chad Norris Keller to Shelton Capital ManagementMar 30, 2026 · Other
- Kimberly Faust Escue to Shelton Capital ManagementMar 30, 2026 · Other
- Jonathan Ira Bernstein to Shelton Capital ManagementMar 30, 2026 · Other
- Gary Scott Stringer to Shelton Capital ManagementMar 30, 2026 · Other
- Regan Wall to Capital Wealth Planning, LLCMar 31, 2025 · RIA to RIA
- Thomas John Farrell to New York Life Investment Management LLCApr 16, 2024 · Other
Joined, latest
- Regan Wall from Sei Investments Management CorpSep 19, 2024 · Other
- Thomas John Farrell from Aspyre Wealth PartnersFeb 6, 2020 · RIA to RIA
- Jonathan Ira Bernstein from Raymond James & Associates, Inc.Mar 4, 2013 · Affiliated broker-dealer or bank to a newly registered adviser
- Chad Norris Keller from Raymond James & Associates, Inc.Feb 25, 2013 · Affiliated broker-dealer or bank to a newly registered adviser
- Gary Scott Stringer from Raymond James & Associates, Inc.Feb 25, 2013 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Shelton Capital ManagementMar 30, 2026 · Memphis, Tn · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Norris Chad Keller · Chief Compliance Officercontrolsince 02/2013 · owns less than 5%
- Scott Gary Stringer · President And Chief Investment Officercontrolsince 02/2013 · owns less than 5%
Entity owners
- Laurus Principal Group, LLC · Holding Company / Ownerdirect · owns 75% or more
- North Channel, Lllp · Memberindirect · owns 25% to 50% of Laurus Principal Group, LLC
- Poplar Principal Group, LLC · Memberindirect · owns 50% to 75% of Laurus Principal Group, LLC
- Sewickley Georgetowne, LLC · Memberindirect · owns 25% to 50% of Laurus Principal Group, LLC
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Stringer Asset Management, LLC as a related person
- 299607 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Memphis, Tn · principal | 0 | 0 | 4 | ||
| Gulf Breeze, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 80 to 72Sep 4, 2024 to Mar 31, 2025
- Individual clients · 75 to 57Sep 4, 2024 to Mar 31, 2025
- Financial planning clients · unset to Sep 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $47.9M to $42.2MSep 4, 2024 to Mar 31, 2025
- HNW RAUM · 8045285.0 to unsetSep 4, 2024 to Mar 31, 2025
- Individual RAUM · $16.7M to $19.6MSep 4, 2024 to Mar 31, 2025
- RAUM · $47.9M to $42.2MSep 4, 2024 to Mar 31, 2025
- Wrap assets (manager) · $23.8M to $18.4MSep 4, 2024 to Mar 31, 2025
- Accounts · 45 to 80Mar 30, 2023 to Mar 28, 2024
- Individual clients · 43 to 75Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $43.8M to $47.9MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $26.6M to $8.0MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $15.7M to $16.7MMar 30, 2023 to Mar 28, 2024
- RAUM · $43.8M to $47.9MMar 30, 2023 to Mar 28, 2024
- Related adviser · true to falseMar 30, 2023 to Mar 28, 2024
- Wrap assets (manager) · $17.2M to $23.8MMar 30, 2023 to Mar 28, 2024
- Accounts · 47 to 45Mar 31, 2022 to Mar 30, 2023
- BD registered reps · 8 to 6Mar 31, 2022 to Mar 30, 2023
- Individual clients · 45 to 43Mar 31, 2022 to Mar 30, 2023
- Employees · 8 to 6Mar 31, 2022 to Mar 30, 2023
- State-registered IARs · 7 to 5Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $64.4M to $43.8MMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $2.6M to $26.6MMar 31, 2022 to Mar 30, 2023
- Individual RAUM · $19.4M to $15.7MMar 31, 2022 to Mar 30, 2023
- RAUM · $64.4M to $43.8MMar 31, 2022 to Mar 30, 2023
- Wrap assets (manager) · $21.4M to $17.2MMar 31, 2022 to Mar 30, 2023
- Accounts · 301 to 47Feb 1, 2022 to Mar 31, 2022
- BD registered reps · 6 to 8Feb 1, 2022 to Mar 31, 2022
- Individual clients · 299 to 45Feb 1, 2022 to Mar 31, 2022
- Employees · 6 to 8Feb 1, 2022 to Mar 31, 2022
- State-registered IARs · 5 to 7Feb 1, 2022 to Mar 31, 2022
- Discretionary RAUM · $98.2M to $64.4MFeb 1, 2022 to Mar 31, 2022
- HNW RAUM · $2.9M to $2.6MFeb 1, 2022 to Mar 31, 2022
- Individual RAUM · $65.6M to $19.4MFeb 1, 2022 to Mar 31, 2022
- RAUM · $98.2M to $64.4MFeb 1, 2022 to Mar 31, 2022
- Wrap assets (manager) · $68.4M to $21.4MFeb 1, 2022 to Mar 31, 2022
- Accounts · 298 to 301Jun 29, 2020 to Mar 31, 2021
- Individual clients · 295 to 299Jun 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $96.1M to $98.2MJun 29, 2020 to Mar 31, 2021
- HNW RAUM · $5.5M to $2.9MJun 29, 2020 to Mar 31, 2021
Signals
12 dated events
- Stringer Asset Management, Llc no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $42.2M)Apr 1, 2026 · Left the SEC roster · derived
- Gary Scott Stringer left Stringer Asset Management, Llc for Shelton Capital Management (registered 2026-02-23)Mar 30, 2026 · Advisor changed firm · fact
- Kimberly Faust Escue left Stringer Asset Management, Llc for Shelton Capital Management (registered 2026-02-23)Mar 30, 2026 · Advisor changed firm · fact
- Jonathan Ira Bernstein left Stringer Asset Management, Llc for Shelton Capital Management (registered 2026-02-18)Mar 30, 2026 · Advisor changed firm · fact
- Chad Norris Keller left Stringer Asset Management, Llc for Shelton Capital Management (registered 2026-02-23)Mar 30, 2026 · Advisor changed firm · fact
- Stringer Asset Management, LLC's advisors moved to Shelton Capital Management (Memphis, TN): 4 of 4 registered, on the same dayMar 30, 2026 · Firm absorbed (people side) · derived
- Regan Wall left Stringer Asset Management, Llc for Capital Wealth Planning, Llc (registered 2025-01-21)Mar 31, 2025 · Advisor changed firm · fact
- Thomas John Farrell left Stringer Asset Management, Llc for New York Life Investment Management Llc (registered 2024-04-23)Apr 16, 2024 · Advisor changed firm · fact
- Richard Snow (Sole Shareholder) no longer on Schedule A of Stringer Asset Management, Llc (listed 2023-03-30, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Philip Jack Buchanan (General Partner) no longer on Schedule A of Stringer Asset Management, Llc (listed 2023-03-30, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Shane Michael Oneill (General Partner) no longer on Schedule A of Stringer Asset Management, Llc (listed 2023-03-30, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Stringer Asset Management, Llc filed its initial SEC registration (Form ADV)Nov 20, 2012 · 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