SA STONE INVESTMENT ADVISORS INC.
STONEX ADVISORS INC. Legal Name
Adviser information for SA STONE INVESTMENT ADVISORS INC. last updated from Form ADV on January 31st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 242 |
|---|---|
| Investment Advisory/Research | 242 |
| Registered Broker-Dealer Representatives | 242 |
| Registered State Investment Advisers | 242 |
| Licensed Agents of an Insurance Company | 93 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 9,342 | $2.1B |
| Non-Discretionary | 4,677 | $1.2B |
| Total | 14,019 | $3.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 8,547 | $1.8B |
| HNW Individuals | 648 | $1.4B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 6 | $1.7M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 73 | $70.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 83 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsFINANCIAL CONSULTING SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
2 PERIMETER PARK SOUTHSUITE 500 WEST
BIRMINGHAM
AL
United States
Monday - Friday, 9-5
Tel: 800-292-2411, Fax: None
Websites
www.facebook.com/sastonewealth
www.saswealth.com/
twitter.com/sastonewealth
www.linkedin.com/company/sa-stone-wealth-management
www.stonexwealth.com
www.stonex.com/retail-services/wealth-management/
www.stonex.com/solutions/retail-clients/
international.stonexwealth.com/
www.linkedin.com/showcase/stonex-wealth-management-international
www.linkedin.com/showcase/stonex-wealth-management
Chief Compliance Officer
JOHN F. CALVANO
EXEC VICE PRESIDENT
2 PERIMETER PARK SOUTH
SUITE 500 WEST
BIRMINGHAM
AL
United States
Tel:
205-414-3367
J***********@************M
(Full email address available in API data)
Regulatory Contact
ANDREW CHAMBLESS
GENERAL COUNSEL
2 PERIMETER PARK SOUTH
SUITE 100 WEST
BIRMINGHAM
AL
United States
Tel:
205-414-3313
Fax:
205-949-3502
A***************@*********M
(Full email address available in API data)
Industry Affiliates
| STONEX FINANCIAL INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| STONEX SECURITIES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CARTER, JAY, WILSON | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2015 | < 5% |
| RICHARDSON, MARCUS, BRYANT | Individual | – | CHIEF OPERATIONS OFFICER | 09/2014 | < 5% |
| STONEX GROUP INC. | Domestic Entity | – | 100% OWNER | 07/2016 | > 75% |
| DUNAWAY, WILLIAM, JOHN | Individual | – | DIRECTOR | 08/2016 | < 5% |
| LYON, CHARLES, MARTIN | Individual | – | DIRECTOR | 08/2016 | < 5% |
| NGUYEN, XUONG, THO | Individual | – | DIRECTOR | 08/2016 | < 5% |
| O'CONNOR, SEAN, MICHAEL | Individual | – | DIRECTOR | 08/2016 | < 5% |
| CALVANO, JOHN, FRANCIS | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2017 | < 5% |
| MAURER, MARK, L | Individual | – | DIRECTOR | 06/2021 | < 5% |
| PORZIO, JOSEPH, JOHN | Individual | – | CHIEF FINANCIAL OFFICER | 09/2021 | < 5% |
| CHAMBLESS, ANDREW, R | Individual | – | GENERAL COUNSEL | 12/2014 | < 5% |