{ "crd_number": 174182, "slug": "stonex-advisors-inc-birmingham-al-174182", "primary_business_name": "STONEX ADVISORS INC.", "legal_name": "STONEX ADVISORS INC.", "dbas": [ "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" ], "city": "Birmingham", "state": "AL", "country": "United States", "cbsa_code": "13820", "metro": { "cbsa_code": "13820", "common_name": "Birmingham", "msa_name": "Birmingham, AL", "path": "/advisors/al/birmingham" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2014-12-17", "years_registered": 11, "period": "2026-10-01", "filing_date": "2026-06-17", "carried_forward": false, "raum_total": 5092884780.0, "raum_discretionary": 3806637865.0, "raum_non_discretionary": 1286246915.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 220, "advisory_employees": 220, "client_count_bucket": null, "clients_by_type": { "charitable": { "raum": 3693624.0, "count": 3 }, "individuals": { "raum": 2278234964.0, "count": 8721 }, "state_municipal": { "raum": 85837555.0, "count": 3 }, "high_net_worth_individuals": { "raum": 2602703166.0, "count": 1020 }, "corporations_other_businesses": { "raum": 122415471.0, "count": 96 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "educational_seminars", "financial_planning", "other", "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 4, "states_registered": [ "AK", "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "PR", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "VI", "VT", "WA", "WI", "WV", "WY" ], "websites": [ "https://facebook.com/SAStoneWealth", "https://linkedin.com/company/90623235/admin/dashboard", "https://linkedin.com/company/sa-stone-wealth-management", "https://linkedin.com/showcase/90402889/admin/dashboard", "https://stonex.com/en/wealth-management.com", "https://twitter.com/sastonewealth", "https://x.com/StoneX_Official" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/174182", "disclosure_items": [ { "item": "11.C(1)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "item": "11.C(2)", "question": "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?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "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?" } ], "city_as_filed": "BIRMINGHAM", "url": "https://advisorcensus.com/firm/stonex-advisors-inc-birmingham-al-174182", "display_name": "Stonex Advisors Inc.", "summary": "Stonex Advisors Inc. is an SEC-registered investment advisory firm in Birmingham, AL, registered since 2014, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated June 17, 2026.", "citation": "AdvisorCensus. Stonex Advisors Inc. (CRD 174182): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "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" ], "quick_answers": [ { "q": "How is Stonex Advisors Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Stonex Advisors Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is Stonex Advisors Inc. located?", "a": "Stonex Advisors Inc.'s principal office is in Birmingham, AL, according to its Form ADV; the July 2026 filing also lists 23 other offices (Schedule D, Section 1.F)." }, { "q": "Is Stonex Advisors Inc. registered with the SEC or a state?", "a": "Stonex Advisors Inc. is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 174182." }, { "q": "How much does Stonex Advisors Inc. manage?", "a": "Stonex Advisors Inc. reports $5,092,884,780 in regulatory assets under management in its Form ADV filing dated June 17, 2026 (75% discretionary)." }, { "q": "How have Stonex Advisors Inc.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Stonex Advisors Inc.: 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. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Stonex Advisors Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (8,721); high net worth individuals (1,020); corporations or other businesses not listed above (96)." }, { "q": "Which custodians does Stonex Advisors Inc. use?", "a": "Stonex Advisors Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC and Stonex Financial Inc. (affiliated with the firm) as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Stonex Advisors Inc. report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/174182" }, { "q": "What changed in Stonex Advisors Inc.'s recent Form ADV filings?", "a": "In the July 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 2078210177.0, "total_employees": 255, "filing_date": "2021-09-13" }, { "period": "2022-10-01", "regulatory_assets_under_management": 3152670504.0, "total_employees": 274, "filing_date": "2022-07-05" }, { "period": "2023-10-01", "regulatory_assets_under_management": 2530194219.0, "total_employees": 282, "filing_date": "2022-12-22" }, { "period": "2024-10-01", "regulatory_assets_under_management": 3315760084.0, "total_employees": 242, "filing_date": "2024-07-02" }, { "period": "2025-10-01", "regulatory_assets_under_management": 4515278523.0, "total_employees": 233, "filing_date": "2025-07-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 5092884780.0, "total_employees": 220, "filing_date": "2026-06-17" } ], "recent_changes": [ { "period": "2026-07-01", "period_label": "July 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "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." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Pershing LLC", "name_as_filed": "PERSHING LLC", "affiliated": false }, { "name": "Stonex Financial Inc.", "name_as_filed": "STONEX FINANCIAL INC.", "affiliated": true } ], "custodians_note": "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.", "markdown_url": "https://advisorcensus.com/firm/stonex-advisors-inc-birmingham-al-174182.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 8721, "fewer_than_5": false, "raum": 2278234964.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 1020, "fewer_than_5": false, "raum": 2602703166.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 3, "fewer_than_5": false, "raum": 3693624.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 3, "fewer_than_5": false, "raum": 85837555.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 96, "fewer_than_5": false, "raum": 122415471.0 } ], "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/174182", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }