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
Stafford Capital Partners Inc.
Latest filing Sep 25, 2025
First filing on the tape May 8, 2014 · 50 filings
SEC status approved since Jun 5, 2014
RAUM
$1.7B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$246M
derived; firm RAUM over IAPD count
Employees
15
15 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
18
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$1.7B as of Sep 25, 2025
Feb 3, 2015$330M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 25, 2025
Feb 3, 20150 then
Employees (5.A)15 as of Sep 25, 2025
Feb 3, 20158 then
Private funds18 as of Sep 25, 2025
Feb 3, 20158 then
RAUM +5.8% over the last fiscal year+15% a year over threeIARs 0 to 0offices 5 to 3
Practice profile
derived from the filing of Sep 25, 2025; every figure names its basis
- RAUM per advisor
- $246MderivedRAUM 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
- $71.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 1.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B99%
- Sovereign wealth funds$9.0M0.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 24reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.78 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Rick John Fratus | Austin, Tx | Jul 21, 2014 | 20 y | 0 |
| Kurt Faulhaber | Austin, Tx | Sep 22, 2016 | 12 y | 0 |
| Jerry Michael Mahon | Austin, Tx | Jul 1, 2019 | 10 y | 0 |
| Miguel Fabra-Crespo | Austin, Tx | Jul 1, 2019 | 11 y | 0 |
| Ashley Elizabeth Arndt | Austin, Tx | Jul 1, 2019 | 10 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 14% of current headcount1 left over 36 months
Left, latest
- Ronald Edward Heinz to Roc Partners (US) LLCApr 21, 2026 · Other
Joined, latest
none on the tape
Private funds
28 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Threshold Timber L.P. | Private Equity Fund | $395M | 10 | Sep 30, 2022 |
| Stafford Global Private Equity IVno longer reported | Private Equity Fund | $95.3M | 14 | Nov 2, 2021 |
| Stafford Sustainable Secondaries Fund III, L.P. | Private Equity Fund | $91.6M | 8 | May 28, 2019 |
| Horeca Clean Tech II | Private Equity Fund | $82.9M | 1 | Nov 2, 2021 |
| Stafford European Private Equity V Cvno longer reported | Private Equity Fund | $67.1M | 14 | Nov 2, 2021 |
| Stafford Ho'Oulu Fund, L.P. | Private Equity Fund | $63.4M | 2 | Oct 2, 2023 |
| Interpolis Pensioenen Private Equity Fund II | Private Equity Fund | $62.5M | 9 | Nov 2, 2021 |
| Horeca Clean Tech LP | Private Equity Fund | $58.3M | 1 | Nov 2, 2021 |
| Stafford Infrastructure Secondaries Fund V (US) LP | Private Equity Fund | $58.1M | 2 | Oct 2, 2023 |
| Stafford Pilina Private Equity Fund, L.P. | Private Equity Fund | $55.9M | 1 | Nov 2, 2021 |
| Stafford Hitip Fund II, L.P. | Private Equity Fund | $40.2M | 2 | Mar 15, 2017 |
| Stafford Hitip Fund III, L.P. | Private Equity Fund | $38.3M | 2 | Nov 2, 2021 |
| Clean Tech Private Equity II LP | Private Equity Fund | $26.0M | 4 | Nov 2, 2021 |
| Stafford Ventures Fund II, LP | Private Equity Fund | $25.3M | 22 | Mar 28, 2012 |
| Stafford Nm Fund I, LPno longer reported | Private Equity Fund | $23.1M | 2 | Mar 28, 2012 |
| Clean Tech Private Equity III Primaries LP | Private Equity Fund | $20.8M | 12 | Nov 2, 2021 |
| Clean Tech Private Equity II Co-Investments LP | Private Equity Fund | $19.7M | 2 | Nov 2, 2021 |
| Stafford Sustainable Capital Fund II, LP | Private Equity Fund | $19.4M | 9 | Mar 28, 2012 |
| Stafford Hitip Fund I, LP | Private Equity Fund | $10.4M | 1 | Mar 28, 2012 |
| Clean Tech Private Equity III Secondaries LP | Private Equity Fund | $9.2M | 15 | Nov 2, 2021 |
| Stafford Nm Fund II, LPno longer reported | Private Equity Fund | $9.2M | 1 | Mar 28, 2012 |
| Stafford Ventures Fund I, LP | Private Equity Fund | $7.9M | 23 | Mar 28, 2012 |
| Interpolis Pensioenen Private Equity Fund Ino longer reported | Private Equity Fund | $4.0M | 3 | Nov 2, 2021 |
| Stafford Sustainable Capital Offshore Fund, LP | Private Equity Fund | $2.4M | 12 | Mar 28, 2012 |
| Neptune Aquaculture Pe Fund LP | Private Equity Fund | $1.5M | 2 | Apr 1, 2020 |
| Stafford Sustainable Capital Fund, LP | Private Equity Fund | $1.1M | 11 | Mar 28, 2012 |
| Clean Tech Private Equity III Co-Investments LP | Private Equity Fund | $499,719 | 12 | Nov 2, 2021 |
| Clean Tech Private Equity I LPno longer reported | Private Equity Fund | $231,532 | 8 | Nov 2, 2021 |
Owners and control persons
Schedule A and B, latest filing
- John Rick Fratus · Directorcontrolsince 07/2014 · owns less than 5%
- Boyd David Lindsay · Directorcontrolsince 09/2023 · owns less than 5%
- Angus Whiteley · Directorcontrolsince 10/2013 · owns less than 5%
- Marie Marguerite Genevieve Carbonatto · Beneficiarycontrolsince 08/2012 · owns 50% to 75% of Norman Family Trust
- Marie Marguerite Genevieve Carbonatto · Directorcontrolsince 08/2012 · owns 75% or more of Nmae Pty Limited
- Robert Geoffrey Norman · Beneficiarycontrolsince 08/2012 · owns 50% to 75% of Norman Family Trust
- Louise Victoria Sherliker · Chief Compliance Officersince 07/2023 · owns less than 5%
Entity owners
- Stafford Capital Partners Pty Limited · Shareholderdirect · owns 75% or more
- Norman Family Trust · Shareholderindirect · owns 25% to 50% of Stafford Capital Partners Holding Pty Limited
- Stafford Capital Partners Holding Pty Limited · Shareholderindirect · owns 75% or more of Stafford Capital Partners Pty Limited
- Nmae Pty Limited · Trusteeindirect · owns 75% or more of Norman Family Trust
Related persons
Schedule D 7.A
- Clean Tech Private Equity III LLCpooled vehicle sponsorn
- Neptune Aquaculture Pe Fund (Gp) Limitedpooled vehicle sponsorn
- Stafford Capital Partners Bvpooled vehicle sponsorn
- Stafford Capital Partners Limitedinvestment advisernRAUM $6.7B
- Stafford Capital Partners Pty Limitedinvestment advisery
- Stafford Hei Gp LLCpooled vehicle sponsorn
- Stafford Hitip Gp II LLCpooled vehicle sponsory
- Stafford Hitip Gp III LLCpooled vehicle sponsorn
- Stafford Hitip Gp, LLCpooled vehicle sponsory
- Stafford Ho'Oulu Fund Gp, L.P.pooled vehicle sponsory
- Stafford Infrastructure Secondaries Fund V Gp LLCpooled vehicle sponsory
- Stafford Nm Gp, LLCpooled vehicle sponsory
- Stafford Sustainable Capital Gp II, LLCpooled vehicle sponsory
- Stafford Sustainable Capital Gp, LLCpooled vehicle sponsory
- Stafford Sustainable Secondaries Fund III Gp, LLCpooled vehicle sponsorn
- Stafford Threshold Timber Gp LLCpooled vehicle sponsorn
- Stafford Ventures Gp, LLCpooled vehicle sponsory
Advisers that list Stafford Capital Partners Inc. as a related person
- 168133 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 7 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom1 employees
- Portland, OR1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 25 to 24Oct 9, 2024 to Sep 25, 2025
- Pooled vehicle clients · 22 to 21Oct 9, 2024 to Sep 25, 2025
- Financial planning clients · unset to Oct 9, 2024 to Sep 25, 2025
- Discretionary RAUM · $1.8B to $1.7BOct 9, 2024 to Sep 25, 2025
- Non-discretionary RAUM · $12.7M to $9.0MOct 9, 2024 to Sep 25, 2025
- Pooled vehicle RAUM · $1.4B to $1.3BOct 9, 2024 to Sep 25, 2025
- RAUM · $1.8B to $1.7BOct 9, 2024 to Sep 25, 2025
- Discretionary RAUM · $1.8B to $1.8BSep 23, 2024 to Oct 9, 2024
- Pooled vehicle RAUM · $1.5B to $1.4BSep 23, 2024 to Oct 9, 2024
- RAUM · $1.9B to $1.8BSep 23, 2024 to Oct 9, 2024
- Advisory employees · 14 to 15Mar 8, 2024 to Sep 23, 2024
- Accounts · 24 to 25Mar 8, 2024 to Sep 23, 2024
- Assets in custody · $145M to $0Mar 8, 2024 to Sep 23, 2024
- Employees · 17 to 15Mar 8, 2024 to Sep 23, 2024
- Other offices · 5 to 3Mar 8, 2024 to Sep 23, 2024
- Discretionary RAUM · $1.6B to $1.8BMar 8, 2024 to Sep 23, 2024
- Non-discretionary RAUM · $0 to $12.7MMar 8, 2024 to Sep 23, 2024
- Pooled vehicle RAUM · $1.5B to $1.5BMar 8, 2024 to Sep 23, 2024
- RAUM · $1.6B to $1.9BMar 8, 2024 to Sep 23, 2024
- Private funds · 22 to 18Dec 22, 2023 to Mar 8, 2024
- Pooled vehicle clients · 24 to 22Oct 19, 2023 to Dec 22, 2023
- Discretionary RAUM · $1.6B to $1.6BOct 5, 2023 to Oct 16, 2023
- Pooled vehicle RAUM · $1.5B to $1.5BOct 5, 2023 to Oct 16, 2023
- RAUM · $1.6B to $1.6BOct 5, 2023 to Oct 16, 2023
- Advisory employees · 12 to 14Jun 6, 2023 to Oct 2, 2023
- Advisory activities · 1 to 2Jun 6, 2023 to Oct 2, 2023
- Assets in custody · $163M to $145MJun 6, 2023 to Oct 2, 2023
- Employees · 19 to 17Jun 6, 2023 to Oct 2, 2023
- Other offices · 4 to 5Jun 6, 2023 to Oct 2, 2023
- Discretionary RAUM · $1.5B to $1.6BJun 6, 2023 to Oct 2, 2023
- Pooled vehicle RAUM · $1.5B to $1.5BJun 6, 2023 to Oct 2, 2023
- RAUM · $1.5B to $1.6BJun 6, 2023 to Oct 2, 2023
- Other offices · 3 to 4Apr 25, 2023 to May 17, 2023
- Accounts · 25 to 24Nov 4, 2021 to Sep 30, 2022
- Advisory employees · 10 to 12Nov 4, 2021 to Sep 30, 2022
- Pooled vehicle clients · 25 to 24Nov 4, 2021 to Sep 30, 2022
- Assets in custody · $187M to $163MNov 4, 2021 to Sep 30, 2022
- Employees · 17 to 19Nov 4, 2021 to Sep 30, 2022
- Private funds · 23 to 22Nov 4, 2021 to Sep 30, 2022
- Discretionary RAUM · $1.1B to $1.5BNov 4, 2021 to Sep 30, 2022
Signals
11 dated events
- Ronald Edward Heinz left Stafford Capital Partners Inc. for Roc Partners (Us) Llc (registered 2026-04-20)Apr 21, 2026 · Advisor changed firm · fact
- Duy Van Manh "Vince" Cao (Director/Chief Compliance Officer) no longer on Schedule A of Stafford Capital Partners Inc. (listed 2023-06-06, absent 2023-10-02)Oct 2, 2023 · Control person left · inference
- Boyd David Lindsay (Director) appeared on Schedule A of Stafford Capital Partners Inc.Oct 2, 2023 · Control person joined · fact
- Cressida Catherine Nnyanzi (Chief Compliance Officer) no longer on Schedule A of Stafford Capital Partners Inc. (listed 2023-05-17, absent 2023-05-17)May 17, 2023 · Control person left · inference
- Stafford Capital Partners Inc. reported RAUM $1.5B, up 30% from $1.1B (2021-11-04 to 2022-09-30)Sep 30, 2022 · RAUM change · derived
- Stafford Capital Partners Inc. reported RAUM $1.1B, up 192% from $390.8M (2021-06-14 to 2021-11-02)Nov 2, 2021 · RAUM change · derived
- Cressida Catherine Nnyanzi (Chief Compliance Officer) appeared on Schedule A of Stafford Capital Partners Inc.Nov 2, 2021 · Control person joined · fact
- George Ian Deas (Director/Secretary) no longer on Schedule A of Stafford Capital Partners Inc. (listed 2019-12-13, absent 2020-10-01)Oct 1, 2020 · Control person left · inference
- Thaddeus Dominic Tayco (Chief Compliance Officer/Director) no longer on Schedule A of Stafford Capital Partners Inc. (listed 2019-12-13, absent 2020-10-01)Oct 1, 2020 · Control person left · inference
- Stafford Private Equity Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 20, 2016 · Succession (Item 4) · fact
- Stafford Private Equity Inc. filed its initial SEC registration (Form ADV)May 8, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Stafford Capital Partners Inc. · Independent Sponsorsshared crd · capital_provider
- Stafford Capital Partners Inc. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- au.linkedin.com/company/stafford-capital-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- staffordcp.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (512) 334-6489reportedpublic record, Form ADV, Sep 25, 2025
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $246Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Stafford Capital Partners Inc. is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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