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.
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SEC-registered adviser
S•••••••• I••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Sep 7, 2023 · 8 filings
SEC status approved since Sep 29, 2023
RAUM
$170M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$132M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$84.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$170M as of Mar 20, 2026
Feb 8, 2024$146M then
HNW client RAUM$110M as of Mar 20, 2026
Feb 8, 2024$78.9M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Feb 8, 20242 then
Employees (5.A)2 as of Mar 20, 2026
Feb 8, 20242 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 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
- $84.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $382,788derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourlyreportedItem 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$110M65%
- Corporations and businesses$35.8M21%
- Individuals$22.5M13%
- Charitable organizations$1.5M0.9%
- Individual clients
- 87reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 443reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• C•••• R•••Chartered Financial Analyst | Sante Fe, Nm | Nov 18, 2019 | 12 y | 1 |
| S•••• G••••••Chartered Financial Analyst | Irving, Tx | Jan 29, 2020 | 15 y | 0 |
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
- M•••••• C•••• R••• from W••••••• W••••• M•••••••••Nov 18, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• S•••• · Ownercontrolsince 08/2020 · owns 50% to 75%
- R•••• M••••••• C•••• · Managing Member/Ccocontrolsince 09/2019 · 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 |
|---|---|---|---|---|---|
| Sante Fe, Nm | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 100 to 443Mar 31, 2025 to Jan 29, 2026
- HNW clients · 22 to 23Mar 31, 2025 to Jan 29, 2026
- Individual clients · 74 to 87Mar 31, 2025 to Jan 29, 2026
- Discretionary RAUM · $149M to $170MMar 31, 2025 to Jan 29, 2026
- HNW RAUM · $93.4M to $110MMar 31, 2025 to Jan 29, 2026
- Individual RAUM · $15.3M to $22.5MMar 31, 2025 to Jan 29, 2026
- RAUM · $149M to $170MMar 31, 2025 to Jan 29, 2026
- Accounts · 351 to 100Aug 23, 2024 to Mar 31, 2025
- Individual clients · 69 to 74Aug 23, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Aug 23, 2024 to Mar 31, 2025
- HQ city · unset to Aug 23, 2024 to Mar 31, 2025
- HQ state · unset to Aug 23, 2024 to Mar 31, 2025
- Discretionary RAUM · $138M to $149MAug 23, 2024 to Mar 31, 2025
- HNW RAUM · $87.8M to $93.4MAug 23, 2024 to Mar 31, 2025
- Individual RAUM · $11.1M to $15.3MAug 23, 2024 to Mar 31, 2025
- RAUM · $138M to $149MAug 23, 2024 to Mar 31, 2025
- Accounts · 333 to 351Feb 8, 2024 to Jun 4, 2024
- HNW clients · 20 to 22Feb 8, 2024 to Jun 4, 2024
- Other offices · 0 to 1Feb 8, 2024 to Jun 4, 2024
- Discretionary RAUM · $146M to $138MFeb 8, 2024 to Jun 4, 2024
- HNW RAUM · $78.9M to $87.8MFeb 8, 2024 to Jun 4, 2024
- Individual RAUM · $11.2M to $11.1MFeb 8, 2024 to Jun 4, 2024
- RAUM · $146M to $138MFeb 8, 2024 to Jun 4, 2024
- Accounts · 287 to 333Dec 22, 2023 to Feb 8, 2024
- Charity clients · unset to 1.0Dec 22, 2023 to Feb 8, 2024
- Individual clients · 66 to 69Dec 22, 2023 to Feb 8, 2024
- Discretionary RAUM · $143M to $146MDec 22, 2023 to Feb 8, 2024
- HNW RAUM · $80.3M to $78.9MDec 22, 2023 to Feb 8, 2024
- Individual RAUM · $8.8M to $11.2MDec 22, 2023 to Feb 8, 2024
- RAUM · $143M to $146MDec 22, 2023 to Feb 8, 2024
Signals
1 dated events
- S•••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Sep 7, 2023 · 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
- Firm profile
- linkedin.com/company/stonekeep-investments-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 615-975-3635reportedpublic record, Form ADV, Mar 20, 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
- $84.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026