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•••• R•••• A•••••••
Legal name S•••• R•••• A••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 31, 2023 · 5 filings
SEC status approved since Sep 29, 2023
RAUM
$36.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$35.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$36.3M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$36.3M as of Mar 31, 2026
Jan 27, 2024$37.8M then
HNW client RAUM$29.0M as of Mar 31, 2026
Jan 27, 2024$29.4M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Jan 27, 20241 then
Employees (5.A)1 as of Mar 31, 2026
Jan 27, 20241 then
Private funds: no history
RAUM -0.6% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $36.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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$29.0M80%
- Individuals$6.5M18%
- Pension and profit-sharing plans$800,0742.2%
- Individual clients
- 14reported
- HNW clients
- 11reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• S•••• | S•••• R••••, Ny | Oct 13, 2023 | 32 y | 4 |
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••• S•••• from I••••••••• W••••• C••••••• L••Oct 13, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• M••• · Principal/Ccocontrolsince 07/2023 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 30 to 26Mar 10, 2025 to Mar 31, 2026
- HNW clients · 14 to 11Mar 10, 2025 to Mar 31, 2026
- Individual clients · 15 to 14Mar 10, 2025 to Mar 31, 2026
- Discretionary RAUM · $36.5M to $36.3MMar 10, 2025 to Mar 31, 2026
- HNW RAUM · $29.8M to $29.0MMar 10, 2025 to Mar 31, 2026
- Individual RAUM · $5.9M to $6.5MMar 10, 2025 to Mar 31, 2026
- Pension RAUM · $670,939 to $800,074Mar 10, 2025 to Mar 31, 2026
- RAUM · $36.5M to $36.3MMar 10, 2025 to Mar 31, 2026
- Accounts · 100 to 30Jan 27, 2024 to Mar 10, 2025
- HNW clients · 10 to 14Jan 27, 2024 to Mar 10, 2025
- Individual clients · 18 to 15Jan 27, 2024 to Mar 10, 2025
- Pension plan clients · unset to 1.0Jan 27, 2024 to Mar 10, 2025
- Financial planning clients · 26-50 to 26-50Jan 27, 2024 to Mar 10, 2025
- HQ city · unset to Jan 27, 2024 to Mar 10, 2025
- HQ state · unset to Jan 27, 2024 to Mar 10, 2025
- Discretionary RAUM · $37.8M to $36.5MJan 27, 2024 to Mar 10, 2025
- HNW RAUM · $29.4M to $29.8MJan 27, 2024 to Mar 10, 2025
- Individual RAUM · $7.7M to $5.9MJan 27, 2024 to Mar 10, 2025
- Pension RAUM · $588,093 to $670,939Jan 27, 2024 to Mar 10, 2025
- RAUM · $37.8M to $36.5MJan 27, 2024 to Mar 10, 2025
- Accounts · unset to 100.0Sep 7, 2023 to Jan 27, 2024
- HNW clients · unset to 10.0Sep 7, 2023 to Jan 27, 2024
- Individual clients · unset to 18.0Sep 7, 2023 to Jan 27, 2024
- Financial planning clients · 0 to 26-50Sep 7, 2023 to Jan 27, 2024
- Discretionary RAUM · unset to 37751484.0Sep 7, 2023 to Jan 27, 2024
- HNW RAUM · unset to 29422769.0Sep 7, 2023 to Jan 27, 2024
- Individual RAUM · unset to 7740622.0Sep 7, 2023 to Jan 27, 2024
- Non-discretionary RAUM · unset to 0.0Sep 7, 2023 to Jan 27, 2024
- Pension RAUM · unset to 588093.0Sep 7, 2023 to Jan 27, 2024
- RAUM · unset to 37751484.0Sep 7, 2023 to Jan 27, 2024
Signals
1 dated events
- S•••• R•••• A••••••• filed its initial SEC registration (Form ADV)Aug 31, 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 phone
- 212-431-4676reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/stone-ridge-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- stoneridgeadv.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-431-4676reportedpublic record, Form ADV, Mar 31, 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
- $36.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026