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•••• T••••• P••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Aug 15, 2024 · 11 filings
SEC status approved since Sep 16, 2024
RAUM
$669M
reported, Item 5.F
Discretionary
6.5%
of RAUM
Private clients
95%
$633M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$669M
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$669M as of Jun 17, 2026
Jan 13, 2025$600M then
HNW client RAUM$633M as of Jun 17, 2026
Jan 13, 2025$592M then
State-registered IARs (5.B.3)1 as of Jun 17, 2026
Jan 13, 20250 then
Employees (5.A)14 as of Jun 17, 2026
Jan 13, 20256 then
Private funds2 as of Jun 17, 2026
Apr 23, 20251 then
RAUM +7.9% over the last fiscal yearIARs 5 to 1offices 5 to 7
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- 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
- $669MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $106MderivedHNW RAUM over HNW clients
- Average account
- $6.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 6.5%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 11.0derivedItem 5.A over advisors
- Advisors per office
- 0.1derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -80%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.2M, 1 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$633M95%
- Pooled investment vehicles$20.8M3.1%
- Charitable organizations$8.7M1.3%
- Corporations and businesses$5.9M0.9%
- Individual clients
- 0reported
- HNW clients
- 6reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 99reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.2M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.95 fund_share=0.03 institutional_share=0.01 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• D•• J•••• | Park City, Ut | Apr 4, 2025 | 18 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• T••••••• S•••••• · Chief Executive Officercontrolsince 08/2024 · owns 25% to 50%
- H•••••• A••••••••• L•••• · Chief Investment Officercontrolsince 08/2024 · owns 25% to 50%
- S•••• H••••• N•• · Chief Legal Officer & Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- W•••• D••••• H•••• · Chief Financial Officer & Chief Operating Officercontrolsince 08/2024 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 17, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 1.0 (-80.0%) between the annual amendments of 2025-04-23 and 2026-03-17; the peer median change was 0.0% (795 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $500M to $1B (795) · 0.3% percentile
What changed
consecutive filings, newest first
- Employees · 14 to 11Jun 17, 2026 to Sep 17, 2026
- Financial planning clients · 11-25 to 11-25Jun 17, 2026 to Sep 17, 2026
- Private funds · 2 to unsetJun 17, 2026 to Sep 17, 2026
- Succession · false to unsetJun 17, 2026 to Sep 17, 2026
- Employees · 13 to 14May 5, 2026 to Jun 17, 2026
- Assets in custody · $25.0M to $2.2MMar 17, 2026 to May 5, 2026
- Employees · 11 to 13Mar 17, 2026 to May 5, 2026
- Accounts · 70 to 99Sep 3, 2025 to Mar 17, 2026
- Advisory employees · 9 to 8Sep 3, 2025 to Mar 17, 2026
- Corporate clients · 0 to 1Sep 3, 2025 to Mar 17, 2026
- HNW clients · 5 to 6Sep 3, 2025 to Mar 17, 2026
- Pooled vehicle clients · 1 to 2Sep 3, 2025 to Mar 17, 2026
- Assets in custody · $2.2M to $25.0MSep 3, 2025 to Mar 17, 2026
- Employees · 12 to 11Sep 3, 2025 to Mar 17, 2026
- Financial planning clients · 1-10 to 11-25Sep 3, 2025 to Mar 17, 2026
- Discretionary RAUM · $2.2M to $43.6MSep 3, 2025 to Mar 17, 2026
- HNW RAUM · $608M to $633MSep 3, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $618M to $625MSep 3, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $2.2M to $20.8MSep 3, 2025 to Mar 17, 2026
- RAUM · $620M to $669MSep 3, 2025 to Mar 17, 2026
- Advisory employees · 6 to 9Jun 12, 2025 to Sep 3, 2025
- Employees · 9 to 12Jun 12, 2025 to Sep 3, 2025
- HQ city · DARIEN to NEW YORKJun 12, 2025 to Sep 3, 2025
- HQ state · CT to NYJun 12, 2025 to Sep 3, 2025
- Other offices · 5 to 7Jun 12, 2025 to Sep 3, 2025
- Private funds · 1 to 2Jun 12, 2025 to Sep 3, 2025
- Related bank · false to trueJun 12, 2025 to Sep 3, 2025
- Advisory employees · 5 to 6May 5, 2025 to Jun 12, 2025
- Employees · 8 to 9May 5, 2025 to Jun 12, 2025
- Financial planning clients · 1-10 to 1-10May 5, 2025 to Jun 12, 2025
- State-registered IARs · 5 to 1Apr 23, 2025 to May 5, 2025
- Accounts · 71 to 70Jan 13, 2025 to Apr 23, 2025
- Advisory employees · 4 to 5Jan 13, 2025 to Apr 23, 2025
- Charity clients · 2 to 3Jan 13, 2025 to Apr 23, 2025
- Pooled vehicle clients · 0 to 1Jan 13, 2025 to Apr 23, 2025
- Assets in custody · unset to 2163829.0Jan 13, 2025 to Apr 23, 2025
- Custody of client assets · false to trueJan 13, 2025 to Apr 23, 2025
- Employees · 6 to 8Jan 13, 2025 to Apr 23, 2025
- Financial planning clients · 0 to 1-10Jan 13, 2025 to Apr 23, 2025
- State-registered IARs · 0 to 5Jan 13, 2025 to Apr 23, 2025
Signals
1 dated events
- S•••• T••••• P••••••• L•• filed its initial SEC registration (Form ADV)Aug 15, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• T••••• P••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S•••• T••••• P••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@stpartners.coreportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/stone-temple-partners-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- stpartners.coreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (203) 253-1823reportedpublic record, Form ADV, Sep 17, 2026
- Contact form
- stpartners.co/contactreportedpublished 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
- $669Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026