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
Stone Pine Financial Partners
Legal name Stone Pine Financial Partners, LLC
Latest filing Sep 1, 2026
First filing on the tape Jun 15, 2021 · 10 filings
SEC status approved since Jul 15, 2021
RAUM
$257M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$257M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$64.2M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$257M as of Apr 13, 2026
Mar 3, 2022$132M then
HNW client RAUM$224M as of Apr 13, 2026
Mar 3, 2022$100M then
State-registered IARs (5.B.3)4 as of Apr 13, 2026
Mar 3, 20223 then
Employees (5.A)5 as of Apr 13, 2026
Mar 3, 20223 then
Private funds: no history
RAUM +29% over the last fiscal year+28% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $64.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $372,642derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$224M87%
- Individuals$32.6M13%
- Individual clients
- 100reported
- HNW clients
- 102reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 689reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Andrew Harrod HerronCertified Financial Planner | Media, Pa | May 1, 2015 | 23 y | 2 |
| Kevin J. ManningCertified Financial Planner | Media, Pa | May 1, 2015 | 23 y | 1 |
| Myriah LipkeCertified Financial Planner | Media, Pa | Jun 15, 2021 | 19 y | 0 |
| Abigail Elizabeth SchmidCertified Financial Planner | Media, Pa | Jan 23, 2025 | 13 y | 1 |
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
none on the tape
Joined, latest
- Abigail Elizabeth Schmid from Waypoint Financial, LLCJan 23, 2025 · Other
- Andrew Harrod Herron from Esi Financial AdvisorsMay 1, 2015 · Other
- Kevin J. Manning from Esi Financial AdvisorsMay 1, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Esi Financial AdvisorsMay 7, 2015 · Media, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Harrod Andrew Herron · Managing Partnercontrolsince 03/2013 · owns 50% to 75%
- J. Kevin Manning · Managing Partner And Ccocontrolsince 03/2013 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Media, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Apr 13, 2026 to Sep 1, 2026
- Related adviser · false to unsetApr 13, 2026 to Sep 1, 2026
- Related bank · false to unsetApr 13, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetApr 13, 2026 to Sep 1, 2026
- Related insurance company · false to unsetApr 13, 2026 to Sep 1, 2026
- Succession · false to unsetApr 13, 2026 to Sep 1, 2026
- Accounts · 639 to 689Nov 25, 2025 to Mar 31, 2026
- HNW clients · 92 to 102Nov 25, 2025 to Mar 31, 2026
- Individual clients · 74 to 100Nov 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $199M to $257MNov 25, 2025 to Mar 31, 2026
- HNW RAUM · $174M to $224MNov 25, 2025 to Mar 31, 2026
- Individual RAUM · $25.0M to $32.6MNov 25, 2025 to Mar 31, 2026
- RAUM · $199M to $257MNov 25, 2025 to Mar 31, 2026
- Accounts · 540 to 639Feb 5, 2024 to Mar 11, 2025
- Advisory employees · 3 to 4Feb 5, 2024 to Mar 11, 2025
- Advisory activities · 3 to 2Feb 5, 2024 to Mar 11, 2025
- HNW clients · 76 to 92Feb 5, 2024 to Mar 11, 2025
- Individual clients · 71 to 74Feb 5, 2024 to Mar 11, 2025
- Employees · 4 to 5Feb 5, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 11-25Feb 5, 2024 to Mar 11, 2025
- State-registered IARs · 3 to 4Feb 5, 2024 to Mar 11, 2025
- Discretionary RAUM · $147M to $199MFeb 5, 2024 to Mar 11, 2025
- HNW RAUM · $126M to $174MFeb 5, 2024 to Mar 11, 2025
- Individual RAUM · $20.8M to $25.0MFeb 5, 2024 to Mar 11, 2025
- RAUM · $147M to $199MFeb 5, 2024 to Mar 11, 2025
- Accounts · 518 to 540Feb 3, 2023 to Feb 5, 2024
- HNW clients · 64 to 76Feb 3, 2023 to Feb 5, 2024
- Individual clients · 87 to 71Feb 3, 2023 to Feb 5, 2024
- Financial planning clients · 11-25 to 1-10Feb 3, 2023 to Feb 5, 2024
- Discretionary RAUM · $122M to $147MFeb 3, 2023 to Feb 5, 2024
- HNW RAUM · $96.8M to $126MFeb 3, 2023 to Feb 5, 2024
- Individual RAUM · $24.9M to $20.8MFeb 3, 2023 to Feb 5, 2024
- RAUM · $122M to $147MFeb 3, 2023 to Feb 5, 2024
- Accounts · 500 to 518Jun 23, 2022 to Feb 3, 2023
- Advisory activities · 4 to 3Jun 23, 2022 to Feb 3, 2023
- HNW clients · 59 to 64Jun 23, 2022 to Feb 3, 2023
- Individual clients · 96 to 87Jun 23, 2022 to Feb 3, 2023
- Employees · 3 to 4Jun 23, 2022 to Feb 3, 2023
- Discretionary RAUM · $132M to $122MJun 23, 2022 to Feb 3, 2023
- HNW RAUM · $100M to $96.8MJun 23, 2022 to Feb 3, 2023
Signals
1 dated events
- Stone Pine Financial Partners filed its initial SEC registration (Form ADV)Jun 15, 2021 · 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 email
- info@stonepinefinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 610-565-9181reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- STONEPINEFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 610-565-9181reportedpublic record, Form ADV, Sep 1, 2026
- Contact form
- stonepinefinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $64.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026