Stonex Advisors Inc.

• A percentage of assets under your management
• Hourly charges
• Fixed fees (other than subscription fees)

Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ

The brochure lists different fees for different services or strategies. See the firm's brochure (dated December 22, 2025) for its fees and any account minimum, on the SEC's IAPD site.

$5,092,884,780 as of October 2026, filing dated June 17, 2026.

A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means

A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.

• Financial planning services
• Portfolio management for individuals and/or small businesses
• Portfolio management for businesses (other than small businesses) or institutional clients
• Pension consulting services
• Selection of other advisers (including private fund managers)
• Educational seminars/workshops
• Other

Also doing business as

ABERDEEN FINANCIAL GROUP, AFFILIATED FINANCIAL PLANNERS, LLC, AIM FINANCIAL FREEDOM, ATLAS PRIVATE WEALTH PARTNERS, AXIENT INVESTMENT ADVISORS, LLC, BARKO FINANCIAL, BARNEGAT FINANCIAL, BAXTER ASSOCIATES, LLC, BLOOMING GLEN FINANCIAL, BURLESON DAWKINS INC., BUSSEY CAPITAL MANAGEMENT, LLC, CAPITAL PLANNING ASSOCIATES, CHAD J. KARL, COMPASS WEALTH MANAGEMENT, LLC, CONSERVATIVE CONCEPTS, INC., CORLEY WEALTH MANAGEMENT, CRESS WEALTH STRATEGIES, CWT FINANCIAL, DCP ASSET MANAGEMENT, LLC, DILWORTH FINANCIAL SERVICES, EAGLE CREEK WEALTH MANAGEMENT, LLC, ELLEDGE, BAIN, SIDES, LLC, EMARK FINANCIAL, GEORGE STRATEGIC WEALTH, GLS FINANCIAL CONSULTANTS, INC., GRANDVIEW WEALTH ADVISORS, GRUDZINSKI FINANCIAL SERVICES, GUARDIAN WEALTH FINANCIAL, HARADER FINANCIAL MANAGEMENT GROUP, LLC, HDA WEALTH MANAGEMENT LLC, HENDERSON FINANCIAL SERVICES, HENRY WEALTH MANAGEMENT, HIZNAY & ASSOCIATES, HOVANIC WEALTH SOLUTIONS, IM WEALTH PARTNERS, INTEGRA FINANCIAL, INTEGRARISK CORP, JUDSON SMITH WEALTH MANAGEMENT, KAIROS FINANCIAL MANAGEMENT, KEITH FORD AND ASSOCIATES, KENNARD FINANCIAL SERVICES, KEVIN DICK ASSET MANAGEMENT CO, KLEMME FINANCIAL SERVICES, KPJ FINANCIAL SERVICES, LAKE NORMAN ADVISORS LLC, LANNIGAN SECURITIES, LEGACY INVESTMENT PLANNING, LG INVESTMENT SOLUTIONS, LLC, LIFESCOPE PLANNING AND INVESTMENT SERVICES, MANAGED LEGACY WEALTH COUNSEL, MAX WEALTH MANAGEMENT, MORRIS SMITH WEALTH MANAGEMENT, MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT, NEBEL FINANCIAL, NOVECK AND NOVECK, LLC, NUFRIO WEALTH MANAGEMENT, OAK CREST FINANCIAL PARTNERS LLC, ONE SOURCE FINANCIAL GROUP, PARAMOUNT WEALTH MANAGEMENT LLC, PARTNERS FINANCIAL GROUP, LLC, QUIRK INVESTMENTS, REDSTONE FINANCIAL ADVISORS, REGENCY FINANICAL GROUP, LLC, RICHMOND FINANCIAL LLC, RIVER FINANCIAL SERVICES, RJ INVESTMENT SOLUTIONS, RJ TINE ASSOCIATES LLC, RKB INVESTMENTS, ROBERTS WEALTH MANAGEMENT, RON COITE & ASSOCIATES, ROSENTHAL FINANCIAL SERVICES, LLC, SA STONE INVESTMENT ADVISORS, SI FINANCIAL ADVISORS, SMART MONEY STRATEGIES, INC., SPARGER INVESTMENTS, STEVEN SMITH FINANCIAL, STONE FINANCIAL GROUP, LLC, STONEX WEALTH MANAGEMENT, STRATEGIC FINANCIAL GROUP, STREET FINANICAL SERVICES, STURM FINANCIAL SERVICES, SYNERGY WEALTH MANAGEMENT, TEWKSBURY FINANCIAL LLC, TGI WEALTH MANAGEMENT, WAHFELD WEALTH MANAGEMENT GROUP, WAINWRIGHT LAVENTIS, WEALTH MANAGEMENT SOLUTIONS, WEINBERG WEALTH MANAGEMENT, WILLIAMS WEALTH MANAGEMENT, WILLOWBY ADVISORS, WINKLER HIZNAY & ASSOCIATES, WOODEN INVESTMENTS, WOYTOWICH WISLOSKI INVESTMENT GROUP

Registration

SEC-registered investment adviser. Status as filed: Approved.

Registered since

2014 (11 years)

Employees

Total: 220. Performing investment advisory functions: 220.

Wrap fee program participation

No.

Custodians (Schedule D, Section 5.K(3))

Pershing LLCStonex Financial Inc. · affiliated

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

Other offices (Schedule D, Section 1.F)

23 other offices, as of the July 2026 filing

Annandale, VABaton Rouge, LABirmingham, ALBlue Bell, PABrentwood, TNBrookville, INChattanooga, TNCornelius, NCFairhope, ALFlorence, ALFranklin, TNGarfield Heights, OHHuntsville, ALKulpmont, PALousiville, KYMiami, FLPoland, OHRichmond, VARidgeland, MSSchnecksville, PASuwanee, GAWorthington, OHYoungstown, OH

States registered or notice-filed

53 states or jurisdictions

AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVIVTWAWIWVWY

SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration

4 Reports 4 disclosure items on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Regulatory matters Items 11.C to 11.G

• 11.C(1) Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
• 11.C(2) Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
• 11.C(4) Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
• 11.C(5) Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures

Regulatory assets under management: $2,078,210,177 in the October 2021 data and $5,092,884,780 in the October 2026 data, up 145%.

Total employees: 255 in October 2021 and 220 in October 2026.

As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.

1. July 2026
   • Updated its list of owners and control persons (Schedule A).
2. April 2026
   • Updated its list of owners and control persons (Schedule A).
3. January 2026
   • Regulatory assets under management went from $4,515,278,523 to $5,092,884,780 (+13%).
   • Employees performing advisory functions went from 233 to 220.
   • Added the business name AIM Financial Freedom.
   • Added the business name Atlas Private Wealth Partners.
   • Added the business name Axient Investment Advisors, LLC.
   • Added the business name Baxter Associates, LLC.
   • Added the business name Blooming Glen Financial.
   • Added the business name Capital Planning Associates.
   • Added the business name Emark Financial.
   • Added the business name GLS Financial Consultants, Inc..
   • Added the business name Harader Financial Management Group, LLC.
   • Added the business name HDA Wealth Management LLC.
   • Added the business name Integra Financial.
   • Added the business name Judson Smith Wealth Management.
   • Added the business name Klemme Financial Services.
   • Added the business name LG Investment Solutions, LLC.
   • Added the business name Morris Smith Wealth Management.
   • Added the business name Noveck and Noveck, LLC.
   • Added the business name Paramount Wealth Management LLC.
   • Added the business name Quirk Investments.
   • Added the business name RJ Investment Solutions.
   • Added the business name RJ Tine Associates LLC.
   • Added the business name Rosenthal Financial Services, LLC.
   • Added the business name SA Stone Investment Advisors.
   • Added the business name SI Financial Advisors.
   • Added the business name Steven Smith Financial.
   • Added the business name TGI Wealth Management.
   • Added the business name Weinberg Wealth Management.
   • Added the business name Williams Wealth Management.
   • Added the business name Winkler Hiznay & Associates.
   • No longer lists the business name COX Financial Corporation.
   • No longer lists the business name Headwater Asset Management, LLC.
   • No longer lists the business name HLM Financial Services, Inc..
   • No longer lists the business name Investment Securities Group, Inc..
   • No longer lists the business name Laney Financial.
   • No longer lists the business name Olde Hickory Financial Services, LLC.
   • No longer lists the business name Quarry Lakes Financial Group.
   • No longer lists the business name Storms and Rowdon Wealth Management.
   • Added an office in Annandale, VA.
   • Added an office in Franklin, TN.
   • Added an office in Schnecksville, PA.
   • Added an office in Suwanee, GA.
   • No longer lists an office in Covington, KY.
   • No longer lists an office in Montgomery, AL.
   • No longer lists an office in Orefield, PA.
   • No longer lists an office in Ormond Beach, FL.

Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.