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
Stonehage Fleming
Legal name Stonehage Fleming Investment Management Limited
Latest filing Jun 29, 2026
First filing on the tape Nov 8, 2021 · 8 filings
SEC status approved since Dec 8, 2021
RAUM
$24B
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
53%
$13B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
110
52 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$24B as of Jun 29, 2026
Jun 29, 2022$14B then
HNW client RAUM$13B as of Jun 29, 2026
Jun 29, 2022$3.6B then
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Jun 29, 20220 then
Employees (5.A)110 as of Jun 29, 2026
Jun 29, 202262 then
Private funds: no history
RAUM +58% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $43.0MderivedHNW RAUM over HNW clients
- Average account
- $32.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%derivedof RAUM
- Institutional
- 9.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -33%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$13B57%
- Investment companies$6.7B30%
- Charitable organizations$2.1B9.7%
- Corporations and businesses$649M2.9%
- Individuals$77.1M0.3%
- Individual clients
- 243reported
- HNW clients
- 291reported
- Pension plan clients
- 0reported
- Charitable clients
- 13reported
- Accounts
- 725reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.53 fund_share=0.28 institutional_share=0.09 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Nmn Michael Berman · Head Of Client Management Chief Executive Officercontrolsince 07/2019 · owns less than 5%
- Ann Sally Ferne · Chief Operations Officercontrolsince 01/2025 · owns less than 5%
- David Edmund Adrian Gardner · Chief Operations Officercontrolsince 10/2019 · owns less than 5%
- Mary Catherine Kenny · Head Of Internal Auditcontrolsince 08/2022 · owns less than 5%
- Angela Katie Mundell · Chief Compliance Officercontrolsince 11/2020 · owns less than 5%
- Marie Eva Sheppard · Senior Relationship Managercontrolsince 11/2023 · owns less than 5%
- Erasmus Gerrit Smit · Head Of Global Equity Managementcontrolsince 11/2023 · owns less than 5%
- Desmond John Veale · Deputy Head Of Investmentscontrolsince 11/2023 · owns less than 5%
- Derek Graham Wainer · Investment Management Chief Executive Officercontrolsince 04/2016 · owns less than 5%
Entity owners
- Stonehage Fleming (Uk) Limited · Sole Shareholderdirect · owns 75% or more
- Caledonia Investments Plc · Shareholderindirect · owns 25% to 50% of Stonehage Fleming Family & Partners Limited · public reporting company
- Libertas International Trust · Sole Shareholderindirect · owns 75% or more of Libertas Investment Group Limited
- Libertas Investment Group Limited · Shareholderindirect · owns 25% to 50% of Spes Bona Limited
- Primafides (Suisse) S. A. · Trusteeindirect · owns F of Libertas International Trust
- Spes Bona Limited · Shareholderindirect · owns 25% to 50% of Stonehage Fleming Family & Partners Limited
- Stonehage Fleming Family & Partners Limited · Sole Shareholderindirect · owns 75% or more of Stonehage Fleming Financial Services Holdings Limited
- Stonehage Fleming Financial Services Holdings Limited · Sole Shareholderindirect · owns 75% or more of Stonehage Fleming (Uk) Limited
- Stonehage Fleming Financial Services Holdings Limited · Sole Shareholderindirect · owns 75% or more of Sturdon Holdings Luxembourg S.A.R.L
- Stonehage Fleming S.A.R.L · Sole Shareholderindirect · owns 75% or more of Stonehage Fleming Sa
- Stonehage Fleming Sa · Sole Shareholderindirect · owns 75% or more of Primafides (Suisse) S. A.
- Sturdon Holdings Luxembourg S.A.R.L · Sole Shareholderindirect · owns 75% or more of Stonehage Fleming S.A.R.L
Related persons
Schedule D 7.A
- Exmoor Fiduciary Limitedn
- Stonehage Fleming Advisory Ltdinvestment advisern
- Stonehage Fleming Dealing And Treasury Services (Jersey) Limitedbroker-dealerinvestment advisern
- Stonehage Fleming Financial Services Ltdn
- Stonehage Fleming Investment Management (South Africa) (Pty) Ltdinvestment advisern
- Stonehage Fleming Investment Management (Suisse) Aginvestment advisern
- Stonehage Fleming Law Limitedn
- Stonehage Fleming Law USn
- Stonehage Fleming Wealth Planning Limitedinvestment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Jun 29, 2026bank affiliate (Item 7.A.6): no on the filing of 2025-06-25, yes on the filing of 2026-06-29peers: independent wealth managers, $20B and over (84)
- affiliate changedChange between filings · filing Jun 29, 2026insurance affiliate (Item 7.A.10): no on the filing of 2025-06-25, yes on the filing of 2026-06-29peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jun 29, 2026Ferne, Sally, Ann (CHIEF OPERATIONS OFFICER) appeared on Schedule A between the filings of 2024-08-08 and 2026-06-29peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jun 29, 2026Kenny, Catherine, Mary (HEAD OF INTERNAL AUDIT) appeared on Schedule A between the filings of 2024-08-08 and 2026-06-29peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jun 29, 2026GARDNER, ADRIAN, DAVID EDMUND (CHIEF OPERATIONS OFFICER) left Schedule A between the filings of 2024-08-08 and 2026-06-29peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jun 29, 2026WAINER, GRAHAM, DEREK (INVESTMENT MANAGEMENT CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2024-08-08 and 2026-06-29peers: independent wealth managers, $20B and over (84)
What changed
consecutive filings, newest first
- Accounts · 690 to 725Jun 25, 2025 to Jun 29, 2026
- Charity clients · 15 to 13Jun 25, 2025 to Jun 29, 2026
- HNW clients · 263 to 291Jun 25, 2025 to Jun 29, 2026
- Individual clients · 235 to 243Jun 25, 2025 to Jun 29, 2026
- Employees · 100 to 110Jun 25, 2025 to Jun 29, 2026
- Discretionary RAUM · $14B to $17BJun 25, 2025 to Jun 29, 2026
- HNW RAUM · $10B to $13BJun 25, 2025 to Jun 29, 2026
- Individual RAUM · $73.2M to $77.1MJun 25, 2025 to Jun 29, 2026
- Non-discretionary RAUM · $5.2B to $6.7BJun 25, 2025 to Jun 29, 2026
- RAUM · $19B to $24BJun 25, 2025 to Jun 29, 2026
- Related bank · false to trueJun 25, 2025 to Jun 29, 2026
- Related insurance company · false to trueJun 25, 2025 to Jun 29, 2026
- Accounts · 672 to 690Aug 8, 2024 to Jun 25, 2025
- Advisory employees · 51 to 52Aug 8, 2024 to Jun 25, 2025
- Charity clients · 12 to 15Aug 8, 2024 to Jun 25, 2025
- Corporate clients · 150 to 20Aug 8, 2024 to Jun 25, 2025
- HNW clients · 183 to 263Aug 8, 2024 to Jun 25, 2025
- Individual clients · 128 to 235Aug 8, 2024 to Jun 25, 2025
- Employees · 96 to 100Aug 8, 2024 to Jun 25, 2025
- Financial planning clients · unset to Aug 8, 2024 to Jun 25, 2025
- HQ state · unset to Aug 8, 2024 to Jun 25, 2025
- Discretionary RAUM · $12B to $14BAug 8, 2024 to Jun 25, 2025
- HNW RAUM · $3.9B to $10BAug 8, 2024 to Jun 25, 2025
- Individual RAUM · $340M to $73.2MAug 8, 2024 to Jun 25, 2025
- Non-discretionary RAUM · $6.0B to $5.2BAug 8, 2024 to Jun 25, 2025
- RAUM · $18B to $19BAug 8, 2024 to Jun 25, 2025
- Accounts · 1,647 to 672Jun 26, 2023 to Jun 28, 2024
- Advisory employees · 49 to 51Jun 26, 2023 to Jun 28, 2024
- Charity clients · 32 to 12Jun 26, 2023 to Jun 28, 2024
- Corporate clients · 212 to 150Jun 26, 2023 to Jun 28, 2024
- HNW clients · 333 to 183Jun 26, 2023 to Jun 28, 2024
- Individual clients · 131 to 128Jun 26, 2023 to Jun 28, 2024
- Pension plan clients · 22 to 0Jun 26, 2023 to Jun 28, 2024
- Employees · 62 to 96Jun 26, 2023 to Jun 28, 2024
- Discretionary RAUM · $11B to $12BJun 26, 2023 to Jun 28, 2024
- HNW RAUM · $4.1B to $3.9BJun 26, 2023 to Jun 28, 2024
- Individual RAUM · $235M to $340MJun 26, 2023 to Jun 28, 2024
- Non-discretionary RAUM · $3.8B to $6.0BJun 26, 2023 to Jun 28, 2024
- Pension RAUM · $148M to $0Jun 26, 2023 to Jun 28, 2024
- RAUM · $15B to $18BJun 26, 2023 to Jun 28, 2024
Signals
5 dated events
- James Christopher Merry (Chief Executive Officer) no longer on Schedule A of Stonehage Fleming (listed 2023-06-26, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- Erasmus Gerrit Smit (Head Of Global Equity Management) appeared on Schedule A of Stonehage FlemingJun 28, 2024 · Control person joined · fact
- Desmond John Veale (Deputy Head Of Investments) appeared on Schedule A of Stonehage FlemingJun 28, 2024 · Control person joined · fact
- Marie Eva Sheppard (Senior Relationship Manager) appeared on Schedule A of Stonehage FlemingJun 28, 2024 · Control person joined · fact
- Stonehage Fleming filed its initial SEC registration (Form ADV)Nov 8, 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
- Firm profile
- linkedin.com/company/stonehageflemingreportedpublic record, Form ADV, Sep 17, 2026
- Website
- stonehagefleming.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- +44 20 7087 0000reportedpublic record, Form ADV, Jun 29, 2026
- Contact form
- corient.com/us/en/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026