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
Stableford Capital LLC
Latest filing Jul 10, 2026
First filing on the tape Oct 22, 2014 · 35 filings
SEC status approved since Nov 7, 2014
RAUM
$305M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
97%
$297M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$61.1M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$305M as of Jul 10, 2026
Feb 26, 2015$116M then
HNW client RAUM$277M as of Jul 10, 2026
Mar 27, 2018$161M then
State-registered IARs (5.B.3)4 as of Jul 10, 2026
Feb 26, 20154 then
Employees (5.A)4 as of Jul 10, 2026
Feb 26, 20156 then
Private funds: no history
RAUM +8.8% over the last fiscal year+6.2% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
- RAUM per advisor
- $61.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $7.1M, 9 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$277M91%
- Individuals$20.0M6.5%
- Pension and profit-sharing plans$8.6M2.8%
- Individual clients
- 42reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 254reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.1M for 9 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| Andrew Joseph Brinkman | Mill Valley, Ca | Jan 13, 2015 | 30 y | 2 |
| James Ohanlon Patterson | Atlanta, Ga | Apr 24, 2015 | 35 y | 0 |
| Justin C Thomas | Fairfield, Ct | Jul 1, 2016 | 20 y | 0 |
| Mark Rehn | Scottsdale, Az | Feb 22, 2022 | 14 y | 0 |
| Gage Lawrence Boegli | Scotsdale, Az | Jul 10, 2026 | 11 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 20% of current headcount1 left over 36 months
Left, latest
- Nikki Kay Polistina to Transce3nd LLCApr 10, 2026 · RIA to RIA
- Nathan Faldmo to Heritage Financial Partners LLCJun 16, 2020 · Other
- Dustin James Brown to RBC Capital Markets, LLCNov 19, 2018 · RIA to affiliated broker-dealer or bank
- Polly Richardson to RBC Capital Markets, LLCAug 2, 2018 · RIA to affiliated broker-dealer or bank
- Monique Marie Pressley to Intelligent CapitalworksJun 30, 2016 · Other
Joined, latest
- Nikki Kay Polistina from Charles Schwab & Co., Inc.Jun 14, 2018 · Affiliated broker-dealer or bank to independent RIA
- Dustin James Brown from RBC Capital Markets, LLCJan 24, 2018 · Other
- Polly Richardson from RBC Capital Markets, LLCJul 12, 2017 · Other
- Nathan Faldmo from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 13, 2015 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Monique Marie Pressley from Osaic Fs, Inc.Jan 13, 2015 · Other
- Andrew Joseph Brinkman from Robert W. Baird & Co. IncorporatedJan 13, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from RBC Capital Markets, LLCJun 1, 2017 · San Francisco, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Andrew Brinkman · Managing Membercontrolsince 12/2016 · owns 75% or more of Andrew Brinkman Holdings LLC
- Mark Rehn · Chief Compliance Officer/Chief Financial Officersince 02/2022 · owns less than 5%
- C Justin Thomas · Managersince 01/2018 · owns 75% or more of Opr Holdings LLC
Entity owners
- Andrew Brinkman Holdings LLC · Managing Memberdirect · owns 75% or more
- Opr Holdings LLC · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Stableford Tax LLCinsurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 28, 2026HNW share of RAUM moved from 6.0% to 91.0% between the annual amendments of 2025-03-25 and 2026-04-28peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Feb 18, 2026 to Apr 28, 2026
- BD registered reps · 1 to 0Feb 18, 2026 to Apr 28, 2026
- Employees · 5 to 4Feb 18, 2026 to Apr 28, 2026
- State-registered IARs · 5 to 4Feb 18, 2026 to Apr 28, 2026
- Accounts · 263 to 254Sep 19, 2025 to Feb 18, 2026
- HNW clients · 40 to 50Sep 19, 2025 to Feb 18, 2026
- Individual clients · 50 to 42Sep 19, 2025 to Feb 18, 2026
- Pension plan clients · 2.0 to unsetSep 19, 2025 to Feb 18, 2026
- Assets in custody · $55.4M to $7.1MSep 19, 2025 to Feb 18, 2026
- State-registered IARs · 4 to 5Sep 19, 2025 to Feb 18, 2026
- Discretionary RAUM · $272M to $282MSep 19, 2025 to Feb 18, 2026
- HNW RAUM · $16.4M to $277MSep 19, 2025 to Feb 18, 2026
- Individual RAUM · $259M to $20.0MSep 19, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $8.5M to $22.8MSep 19, 2025 to Feb 18, 2026
- Pension RAUM · $4.4M to $8.6MSep 19, 2025 to Feb 18, 2026
- RAUM · $281M to $305MSep 19, 2025 to Feb 18, 2026
- Financial planning clients · 0 to 0Aug 8, 2025 to Sep 19, 2025
- Related insurance company · true to falseAug 8, 2025 to Sep 19, 2025
- Accounts · 268 to 263Mar 29, 2024 to Mar 25, 2025
- HNW clients · 51 to 40Mar 29, 2024 to Mar 25, 2025
- Individual clients · 46 to 50Mar 29, 2024 to Mar 25, 2025
- Assets in custody · unset to 55388000.0Mar 29, 2024 to Mar 25, 2025
- Custody of client assets · false to trueMar 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $264M to $272MMar 29, 2024 to Mar 25, 2025
- HNW RAUM · $249M to $16.4MMar 29, 2024 to Mar 25, 2025
- Individual RAUM · $17.5M to $259MMar 29, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $6.9M to $8.5MMar 29, 2024 to Mar 25, 2025
- Pension RAUM · $4.3M to $4.4MMar 29, 2024 to Mar 25, 2025
- RAUM · $271M to $281MMar 29, 2024 to Mar 25, 2025
- Accounts · 276 to 268Jul 13, 2023 to Mar 29, 2024
- HNW clients · 50 to 51Jul 13, 2023 to Mar 29, 2024
- Individual clients · 44 to 46Jul 13, 2023 to Mar 29, 2024
- Pension plan clients · 3 to 2Jul 13, 2023 to Mar 29, 2024
- Assets in custody · 63283732.0 to unsetJul 13, 2023 to Mar 29, 2024
- Discretionary RAUM · $248M to $264MJul 13, 2023 to Mar 29, 2024
- HNW RAUM · $233M to $249MJul 13, 2023 to Mar 29, 2024
- Individual RAUM · $15.2M to $17.5MJul 13, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $7.0M to $6.9MJul 13, 2023 to Mar 29, 2024
- Pension RAUM · $6.6M to $4.3MJul 13, 2023 to Mar 29, 2024
- RAUM · $255M to $271MJul 13, 2023 to Mar 29, 2024
Signals
5 dated events
- Nikki Kay Polistina left Stableford Capital Llc for Transce3Nd Llc (registered 2026-04-09)Apr 10, 2026 · Advisor changed firm · fact
- Mark Rehn (Chief Compliance Officer/Chief Financial Officer) appeared on Schedule A of Stableford Capital LlcMar 3, 2022 · Control person joined · fact
- Nathan Faldmo (Chief Compliance Officer) no longer on Schedule A of Stableford Capital Llc (listed 2020-03-09, absent 2020-06-19)Jun 19, 2020 · Control person left · inference
- Stableford Capital, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 19, 2016 · Succession (Item 4) · fact
- Stableford Capital, Llc filed its initial SEC registration (Form ADV)Oct 22, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Stableford Capital II LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- inquiries@stablefordcapital.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 480-493-2300reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/stableford-capital-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- STABLEFORDCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 480-493-2300reportedpublic record, Form ADV, Jul 10, 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
- $61.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026