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.
Former SEC-registered adviser
Stonegate Investment Group, LLC
Latest filing May 28, 2025
First filing on the tape May 14, 2021 · 23 filings
SEC status approved since Jun 15, 2021
RAUM
$5.7B
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
88%
$5.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$5.7B as of May 28, 2025
Mar 24, 2022$4.1B then
HNW client RAUM$4.6B as of May 28, 2025
Mar 24, 2022$3.4B then
State-registered IARs (5.B.3)12 as of May 28, 2025
Mar 24, 202212 then
Employees (5.A)14 as of May 28, 2025
Mar 24, 202214 then
Private funds3 as of May 28, 2025
Mar 17, 20233 then
RAUM +22% over the last fiscal year+12% a year over threeIARs 11 to 12offices 2 to 1
Practice profile
derived from the filing of May 28, 2025; every figure names its basis
- RAUM per advisor
- $473MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.3MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $5.7BreportedItem 5.I
- Custody
- $2.6B, 842 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.6B82%
- Corporations and businesses$622M11%
- Individuals$359M6.3%
- Pension and profit-sharing plans$39.1M0.7%
- Pooled investment vehicles$3.7M0.1%
- Individual clients
- 858reported
- HNW clients
- 451reported
- Pension plan clients
- 52reported
- Charitable clients
- n/areported
- Accounts
- 2,768reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $2.6B for 842 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
11 left, 0 joined in 12 months
net -11 in 12 months0 left in 90 days0 joined in 90 days11 left over 36 months
Left, latest
- Tony Randall Smith to Newedge AdvisorsDec 4, 2025 · RIA to affiliated broker-dealer or bank
- Nicholas Guy Robillard to Newedge AdvisorsDec 4, 2025 · RIA to affiliated broker-dealer or bank
- Kimberly P Harless to Newedge AdvisorsDec 4, 2025 · RIA to affiliated broker-dealer or bank
- Christopher J Compton to Newedge AdvisorsDec 4, 2025 · RIA to affiliated broker-dealer or bank
- Matthew Crisman Brown to Newedge AdvisorsDec 4, 2025 · RIA to affiliated broker-dealer or bank
- Natalie Dawn Manning Deal to Newedge AdvisorsDec 4, 2025 · RIA to affiliated broker-dealer or bank
- John Frederick Long to Newedge AdvisorsDec 4, 2025 · RIA to affiliated broker-dealer or bank
- Jerry Gale Duncan to Newedge AdvisorsDec 4, 2025 · RIA to affiliated broker-dealer or bank
- Cynthia Anne Thomas to Newedge AdvisorsDec 4, 2025 · RIA to affiliated broker-dealer or bank
- Thomas Lawson Joy to Newedge AdvisorsDec 4, 2025 · RIA to affiliated broker-dealer or bank
- James Walter Allen to Newedge AdvisorsDec 4, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- Tony Randall Smith from UBS Financial Services Inc.Jul 9, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Kimberly P Harless from UBS Financial Services Inc.Jul 9, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Christopher J Compton from UBS Financial Services Inc.Jul 9, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Matthew Crisman Brown from UBS Financial Services Inc.Jul 9, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Jerry Gale Duncan from UBS Financial Services Inc.Jul 9, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Cynthia Anne Thomas from UBS Financial Services Inc.Jul 9, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- James Walter Allen from UBS Financial Services Inc.Jul 9, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 11 left for Newedge AdvisorsDec 4, 2025 · Birmingham, Al · Firm absorbed
- 6 joined from UBS Financial Services Inc.Jul 20, 2021 · Birmingham, Al
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Stonegate Opportunity Fund I, LLC | Hedge Fund | $44.3M | 74 | Oct 20, 2022 |
| Stonegate Cyber I, LLC | Venture Capital Fund | $3.7M | 36 | Mar 17, 2023 |
| Stonegate Cyber II, LLC | Venture Capital Fund | $3.7M | 36 | Mar 17, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Walter James Allen · Chief Wealth Strategist, Partnercontrolsince 07/2021 · owns less than 5%
- Crisman Matthew Brown · Managing Director, Partnercontrolsince 07/2021 · owns less than 5%
- J Christopher Compton · Managing Director, Partnercontrolsince 07/2021 · owns less than 5%
- Lawrence Harry Cowley · Principal And Chief Compliance Officercontrolsince 09/2021 · owns less than 5%
- P Kimberly Harless · Chief Operating Officercontrolsince 07/2021 · owns less than 5%
- Randall Tony Smith · Chief Executive Officer / Chief Investment Officercontrolsince 07/2021 · owns less than 5%
- Walter James Allen · Managing Membercontrolsince 06/2021 · owns 75% or more of Riverhill Holdings, LLC
- Crisman Matthew Brown · Managing Membercontrolsince 06/2021 · owns 75% or more of Brownstone Holdings, LLC
- J Christopher Compton · Managing Membercontrolsince 06/2021 · owns 75% or more of Bluecut Capital, LLC
- Randall Tony Smith · Managing Membercontrolsince 06/2021 · owns 75% or more of Ynot Holdings, LLC
Entity owners
- Stonegate Investment Group Holdings, LLC · Managing Memberdirect · owns 75% or more
- Bluecut Capital, LLC · Memberindirect · owns F of Stonegate Investment Group Holdings, LLC
- Brownstone Holdings, LLC · Memberindirect · owns F of Stonegate Investment Group Holdings, LLC
- Riverhill Holdings, LLC · Memberindirect · owns F of Stonegate Investment Group Holdings, LLC
- Ynot Holdings, LLC · Managing Memberindirect · owns 25% to 50% of Stonegate Investment Group Holdings, LLC
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 |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 0 | 0 | 11 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Feb 24, 2025 to May 28, 2025
- Private funds · 2 to 3Feb 24, 2025 to May 28, 2025
- Accounts · 2,572 to 2,768Nov 20, 2024 to Feb 24, 2025
- Advisory employees · 11 to 12Nov 20, 2024 to Feb 24, 2025
- Corporate clients · 110 to 141Nov 20, 2024 to Feb 24, 2025
- HNW clients · 382 to 451Nov 20, 2024 to Feb 24, 2025
- Individual clients · 749 to 858Nov 20, 2024 to Feb 24, 2025
- Pension plan clients · 88 to 52Nov 20, 2024 to Feb 24, 2025
- Pooled vehicle clients · 3 to 2Nov 20, 2024 to Feb 24, 2025
- Assets in custody · $3.0B to $2.6BNov 20, 2024 to Feb 24, 2025
- Employees · 13 to 14Nov 20, 2024 to Feb 24, 2025
- State-registered IARs · 11 to 12Nov 20, 2024 to Feb 24, 2025
- Private funds · 3 to 2Nov 20, 2024 to Feb 24, 2025
- Discretionary RAUM · $4.0B to $4.9BNov 20, 2024 to Feb 24, 2025
- HNW RAUM · $3.8B to $4.6BNov 20, 2024 to Feb 24, 2025
- Individual RAUM · $363M to $359MNov 20, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $671M to $737MNov 20, 2024 to Feb 24, 2025
- Pension RAUM · $36.8M to $39.1MNov 20, 2024 to Feb 24, 2025
- Pooled vehicle RAUM · $51.6M to $3.7MNov 20, 2024 to Feb 24, 2025
- RAUM · $4.6B to $5.7BNov 20, 2024 to Feb 24, 2025
- Other offices · 2 to 1Apr 17, 2024 to Jun 5, 2024
- Accounts · 2,425 to 2,572Sep 18, 2023 to Mar 18, 2024
- Corporate clients · 103 to 110Sep 18, 2023 to Mar 18, 2024
- HNW clients · 200 to 382Sep 18, 2023 to Mar 18, 2024
- Individual clients · 435 to 749Sep 18, 2023 to Mar 18, 2024
- Pension plan clients · 56 to 88Sep 18, 2023 to Mar 18, 2024
- Pooled vehicle clients · 1 to 3Sep 18, 2023 to Mar 18, 2024
- Assets in custody · $2.5B to $3.0BSep 18, 2023 to Mar 18, 2024
- Other offices · 1 to 2Sep 18, 2023 to Mar 18, 2024
- Discretionary RAUM · $3.5B to $4.0BSep 18, 2023 to Mar 18, 2024
- HNW RAUM · $3.3B to $3.8BSep 18, 2023 to Mar 18, 2024
- Individual RAUM · $321M to $363MSep 18, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $642M to $671MSep 18, 2023 to Mar 18, 2024
- Pension RAUM · $30.9M to $36.8MSep 18, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $31.2M to $51.6MSep 18, 2023 to Mar 18, 2024
- RAUM · $4.1B to $4.6BSep 18, 2023 to Mar 18, 2024
- Accounts · 2,262 to 2,425Nov 23, 2022 to Mar 17, 2023
- Advisory employees · 12 to 11Nov 23, 2022 to Mar 17, 2023
- Advisory activities · 4 to 5Nov 23, 2022 to Mar 17, 2023
- Corporate clients · 85 to 103Nov 23, 2022 to Mar 17, 2023
Signals
28 dated events
- Stonegate Investment Group, Llc no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $5.7B)Jan 2, 2026 · Left the SEC roster · derived
- Natalie Dawn Manning Deal left Stonegate Investment Group, Llc for Newedge Advisors (registered 2025-12-05)Dec 4, 2025 · Advisor changed firm · fact
- Tony Randall Smith left Stonegate Investment Group, Llc for Newedge Advisors (registered 2025-12-05)Dec 4, 2025 · Advisor changed firm · fact
- Nicholas Guy Robillard left Stonegate Investment Group, Llc for Newedge Advisors (registered 2025-12-07)Dec 4, 2025 · Advisor changed firm · fact
- John Frederick Long left Stonegate Investment Group, Llc for Newedge Advisors (registered 2025-12-05)Dec 4, 2025 · Advisor changed firm · fact
- Thomas Lawson Joy left Stonegate Investment Group, Llc for Newedge Advisors (registered 2025-12-05)Dec 4, 2025 · Advisor changed firm · fact
- Jerry Gale Duncan left Stonegate Investment Group, Llc for Newedge Advisors (registered 2025-12-08)Dec 4, 2025 · Advisor changed firm · fact
- Kimberly P Harless left Stonegate Investment Group, Llc for Newedge Advisors (registered 2025-12-05)Dec 4, 2025 · Advisor changed firm · fact
- Cynthia Anne Thomas left Stonegate Investment Group, Llc for Newedge Advisors (registered 2025-12-05)Dec 4, 2025 · Advisor changed firm · fact
- Matthew Crisman Brown left Stonegate Investment Group, Llc for Newedge Advisors (registered 2025-12-07)Dec 4, 2025 · Advisor changed firm · fact
- Christopher J Compton left Stonegate Investment Group, Llc for Newedge Advisors (registered 2025-12-07)Dec 4, 2025 · Advisor changed firm · fact
- James Walter Allen left Stonegate Investment Group, Llc for Newedge Advisors (registered 2025-12-05)Dec 4, 2025 · Advisor changed firm · fact
- Stonegate Investment Group, LLC's advisors moved to Newedge Advisors (Birmingham, AL): 11 of 11 registered, on the same dayDec 4, 2025 · Firm absorbed (people side) · derived
- Francis Mark Sommer (Managing Director, Partner) no longer on Schedule A of Stonegate Investment Group, Llc (listed 2023-09-18, absent 2024-03-18)Mar 18, 2024 · Control person left · inference
- Gale Jerry Duncan (Partner) no longer on Schedule A of Stonegate Investment Group, Llc (listed 2022-07-05, absent 2022-08-23)Aug 23, 2022 · Control person left · inference
- Everette William Richardson (Partner) no longer on Schedule A of Stonegate Investment Group, Llc (listed 2022-07-05, absent 2022-08-23)Aug 23, 2022 · Control person left · inference
- Lawrence Harry Cowley (Principal And Chief Compliance Officer) appeared on Schedule A of Stonegate Investment Group, LlcMar 24, 2022 · Control person joined · fact
- Stonegate Investment Group, Llc reported 11 state-registered advisory representatives, up from 0 (2021-05-14 to 2021-07-09)Jul 9, 2021 · Advisor headcount change · derived
- Joseph Michael Shuckerow (Chief Compliance Officer) no longer on Schedule A of Stonegate Investment Group, Llc (listed 2021-05-14, absent 2021-07-09)Jul 9, 2021 · Control person left · inference
- Randall Tony Smith (Managing Partner, Chief Investment Officer) appeared on Schedule A of Stonegate Investment Group, LlcJul 9, 2021 · Control person joined · fact
- P Kimberly Harless (Chief Operating Officer, Chief Compliance Officer) appeared on Schedule A of Stonegate Investment Group, LlcJul 9, 2021 · Control person joined · fact
- Gale Jerry Duncan (Partner) appeared on Schedule A of Stonegate Investment Group, LlcJul 9, 2021 · Control person joined · fact
- Francis Mark Sommer (Partner) appeared on Schedule A of Stonegate Investment Group, LlcJul 9, 2021 · Control person joined · fact
- J Christopher Compton (Partner) appeared on Schedule A of Stonegate Investment Group, LlcJul 9, 2021 · Control person joined · fact
- Crisman Matthew Brown (Partner) appeared on Schedule A of Stonegate Investment Group, LlcJul 9, 2021 · Control person joined · fact
- Walter James Allen (Partner, Chief Wealth Strategist) appeared on Schedule A of Stonegate Investment Group, LlcJul 9, 2021 · Control person joined · fact
- Everette William Richardson (Partner) appeared on Schedule A of Stonegate Investment Group, LlcJul 9, 2021 · Control person joined · fact
- Island Way Investment Group, Llc filed its initial SEC registration (Form ADV)May 14, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Stonegate Investment Group, LLC · Family Officesshared cik · office
- Stonegate Investment Group, LLC · Venture Capitalshared crd · organization
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
- Former SEC-registered adviserderiveda 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