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••••••••• P•••••• L••
Latest filing May 13, 2026
First filing on the tape Mar 9, 2023 · 21 filings
SEC status approved since Apr 7, 2023
RAUM
$937M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
94%
$881M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$312M
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$937M as of May 13, 2026
Feb 22, 2024$657M then
HNW client RAUM$784M as of May 13, 2026
Feb 22, 2024$509M then
State-registered IARs (5.B.3)4 as of May 13, 2026
Feb 22, 20242 then
Employees (5.A)11 as of May 13, 2026
Feb 22, 20246 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of May 13, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $312MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 194derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $225,994derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.8BreportedItem 5.I
- Custody
- $33.6M, 94 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)
- compensates persons for client referrals (8.G.1)
- 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$784M84%
- Individuals$96.8M10%
- Pension and profit-sharing plans$47.4M5.1%
- Charitable organizations$8.8M0.9%
- Corporations and businesses$172,5600.0%
- Individual clients
- 319reported
- HNW clients
- 263reported
- Pension plan clients
- 3reported
- Charitable clients
- 9reported
- Accounts
- 4,146reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $877M sponsored, $877M managedreported
- Custody of client assets
- $33.6M for 94 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• D••••• K••••••••• | Northville, Mi | Jun 28, 2023 | 36 y | 2 |
| M••• A•••••• Z•••••Certified Financial Planner | Northville, Mi | Apr 17, 2024 | 10 y | 3 |
| S•••••• J•••• K•••••••••Certified Financial Planner | Northville, Mi | Jan 1, 2025 | 10 y | 3 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- J••••••• T••••• V••••• L••• to S•••••••• A••••••• L••May 19, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- S•••••• J•••• K••••••••• from R•••••• J•••• • A••••••••• I•••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••••••• T••••• V••••• L••• from F••••••• P••••••• A•• W•••••••• A•••••••Jun 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- M••• A•••••• Z••••• from C•••••• S••••• • C••• I•••Apr 17, 2024 · Affiliated broker-dealer or bank to independent RIA
- T••• D••••• K••••••••• from R•••••• J•••• • A••••••••• I•••Jun 28, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• S••••••• J•••• · Member / Partner / Chief Investment Officercontrolsince 02/2023 · owns 10% to 25%
- K••••••••• T•••• D••••• · Managing Member / Managing Partnercontrolsince 02/2023 · owns 75% or more
- H••••••• R•••••• · Chief Compliance Officersince 01/2024 · owns less than 5%
Entity owners
- E•••••••• P•••• L•• · Memberdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Northville, Mi · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Bonita Springs, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing May 13, 2026RAUM per registered advisor of $312,323,178 against a peer median of $106,309,121 (1261 comparable advisers, 100.0th percentile, 3.6 robust deviations)peers: independent wealth managers, $500M to $1B (1,261) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 3,848 to 4,146May 22, 2025 to Feb 25, 2026
- HNW clients · 209 to 263May 22, 2025 to Feb 25, 2026
- Individual clients · 348 to 319May 22, 2025 to Feb 25, 2026
- Assets in custody · $10.5M to $33.6MMay 22, 2025 to Feb 25, 2026
- Employees · 10 to 11May 22, 2025 to Feb 25, 2026
- Discretionary RAUM · $746M to $877MMay 22, 2025 to Feb 25, 2026
- HNW RAUM · $617M to $784MMay 22, 2025 to Feb 25, 2026
- Individual RAUM · $124M to $96.8MMay 22, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $48.4M to $59.8MMay 22, 2025 to Feb 25, 2026
- Pension RAUM · $45.3M to $47.4MMay 22, 2025 to Feb 25, 2026
- RAUM · $794M to $937MMay 22, 2025 to Feb 25, 2026
- Wrap assets (manager) · $794M to $877MMay 22, 2025 to Feb 25, 2026
- Wrap assets (sponsor) · $794M to $877MMay 22, 2025 to Feb 25, 2026
- Financial planning clients · 251-500 to 251-500Apr 23, 2025 to May 22, 2025
- Accounts · 1,824 to 3,848Sep 27, 2024 to Feb 11, 2025
- Advisory employees · 2 to 4Sep 27, 2024 to Feb 11, 2025
- Business name · S••••••••• P•••••• I••• to S••••••••• P•••••• L••Sep 27, 2024 to Feb 11, 2025
- HNW clients · 196 to 209Sep 27, 2024 to Feb 11, 2025
- Individual clients · 298 to 348Sep 27, 2024 to Feb 11, 2025
- Assets in custody · $0 to $10.5MSep 27, 2024 to Feb 11, 2025
- Employees · 6 to 10Sep 27, 2024 to Feb 11, 2025
- State-registered IARs · 2 to 4Sep 27, 2024 to Feb 11, 2025
- Legal name · S••••••••• P•••••• I••• to S••••••••• P•••••• L••Sep 27, 2024 to Feb 11, 2025
- Organization form · Corporation to Limited Liability CompanySep 27, 2024 to Feb 11, 2025
- Discretionary RAUM · $657M to $746MSep 27, 2024 to Feb 11, 2025
- HNW RAUM · $509M to $617MSep 27, 2024 to Feb 11, 2025
- Individual RAUM · $96.4M to $124MSep 27, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $0 to $48.4MSep 27, 2024 to Feb 11, 2025
- Pension RAUM · $43.3M to $45.3MSep 27, 2024 to Feb 11, 2025
- RAUM · $657M to $794MSep 27, 2024 to Feb 11, 2025
- Wrap assets (manager) · unset to 794216860.0Sep 27, 2024 to Feb 11, 2025
- Wrap assets (sponsor) · unset to 794216860.0Sep 27, 2024 to Feb 11, 2025
- Accounts · 483 to 1,824Nov 6, 2023 to Feb 22, 2024
- Charity clients · 7 to 9Nov 6, 2023 to Feb 22, 2024
- Corporate clients · 11 to 2Nov 6, 2023 to Feb 22, 2024
- HNW clients · 73 to 196Nov 6, 2023 to Feb 22, 2024
- Individual clients · 392 to 298Nov 6, 2023 to Feb 22, 2024
- Pension plan clients · unset to 3.0Nov 6, 2023 to Feb 22, 2024
- Employees · 5 to 6Nov 6, 2023 to Feb 22, 2024
- Financial planning clients · 0 to 251-500Nov 6, 2023 to Feb 22, 2024
Signals
4 dated events
- J••••••• T••••• V••••• L••• left S••••••••• P•••••• L•• for S•••••••• A••••••• L•• (registered 2026-08-08)May 19, 2026 · Advisor changed firm · fact
- Roseann Higgins (Chief Compliance Officer) appeared on Schedule A of S••••••••• P•••••• L••Feb 22, 2024 · Control person joined · fact
- Yvonne Lisa Behm (Chief Compliance Officer) no longer on Schedule A of S••••••••• P•••••• L•• (listed 2023-11-06, absent 2024-02-22)Feb 22, 2024 · Control person left · inference
- S••••••••• P•••••• L•• filed its initial SEC registration (Form ADV)Mar 9, 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
- Business email
- info@stonebrookprivate.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 248-349-3027reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- stonebrookprivate.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (248) 349-3027reportedpublic record, Form ADV, May 13, 2026
- Contact form
- stonebrookprivate.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- stonebrookprivate.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $312Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026