STONEBRIDGE ADVISORS LLC
Latest filing: Oct 17, 2024 (184 days ago)
AUM
$10,042,832,031
0% change vs. 1 year ago
-30% change vs. 3 years ago
-5% change vs. 5 years ago
190% change vs. 10 years ago
Employee Count
17
0% change vs. 1 year ago
6% change vs. 3 years ago
13% change vs. 5 years ago
55% change vs. 10 years ago
Main Office
WILTON, CT
10 WESTPORT ROAD, WILTON, CT, UNITED STATES, 06897-4543
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $10.0 |
| Non-Discretionary | $0.0 |
| Total | $10.0 |
| Client | AUM |
|---|---|
| Retail | $0.2 |
| Pooled | $8.4 |
| Institutional | $1.5 |
| Total | $10.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 250 | $0.1 |
| Average Individual AUM | $305,039 | |
| HNW | 16 | $0.1 |
| Average HNW AUM | $4,658,626 | |
| Retail Total | 266 | $0.2 |
| Average Retail AUM | $566,909 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $0.7 |
| UBS FINANCIAL SERVICES INC. | WEEHAWKEN-NJ-USA | $0.6 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.6 |
| Retail SMA AUM | $0.2 |
| Institutional SMA AUM | $1.5 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 1% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 5% | $0.1 |
| Other | 94% | $1.5 |
| Total | 100% | $1.6 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| FIRST TRUST ADVISORS LP | $210.9 | 107027 | |
| FIRST TRUST GLOBAL PORTFOLIOS LIMITED | $0.2 | 169173 | |
| FIRST TRUST CAPITAL PARTNERS LLC | $0.0 | - | |
| FIRST TRUST PORTFOLIOS L.P. | $0.0 | broker-dealer | 28519 |
| FIRST TRUST GLOBAL PORTFOLIOS MANAGEMENT LIMITED | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
18 active
| Name | Title |
|---|---|
| JARDINE, WILLIAM, SCOTT | SECRETARY |
| BOWEN, JAMES, ALLEN | CHAIRMAN OF THE BOARD, SOLE SHAREHOLDER |
| FLEMING, SCOTT, THOMAS | CHIEF EXECUTIVE OFFICER, OWNER |
| PRICHARD, CRAIG, STEPHEN | DIRECTOR |
| DYKAS, JAMES, MARTIN | CHIEF FINANCIAL OFFICER |
| MCGAREL, DAVID, GERARD | DIRECTOR |
| BRANCAZIO, CHRISTOPHER, JOHN | CCO |
| WOLF, ROBERT, ALLEN | EVP, CIO |
| WEAVER, ERIC, DAVID | EVP, PM |
| GRACI, ANGELO, DOMINICK | EVP, PM |
ADVDB.CO • SOURCE: SEC
Representatives
8 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| SHEFKI VINCA | WILTON | CT | S65|2015-07-18 | ||||||
| ALLEN SHEPARD | WILTON | CT | S65|2005-06-22 | ||||||
| MARIE-BELLE MIKUE | WILTON | CT | S65|2016-11-19 | ||||||
| ROBERT WOLF | WILTON | CT | S63|2000-11-20|S65|2006-08-23 | ||||||
| CONNOR FLEMING | WILTON | CT | S65|2015-01-15 | ||||||
| SCOTT FLEMING | WILTON | CT | S63|1986-12-30|S65|2003-01-30 | ||||||
| NANETTE FLEMING | WILTON | CT | S65|2004-08-03 | ||||||
| ERIC WEAVER | WILTON | CT | S65|2013-12-23 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $10.0 | $0.0 | 0% | 17 | 0 | 0% |
| 2024-04-02 | $10.0 | $0.0 | 0% | 17 | 0 | 0% |
| 2023-04-04 | $10.5 | -$0.5 | -4% | 17 | 0 | 0% |
| 2022-04-01 | $14.4 | -$4.4 | -30% | 16 | 1 | 6% |
| 2021-04-05 | $12.4 | -$2.3 | -19% | 15 | 2 | 13% |
| 2020-04-01 | $10.5 | -$0.5 | -5% | 15 | 2 | 13% |
| 2019-04-01 | $7.5 | $2.5 | 33% | 14 | 3 | 21% |
| 2018-04-02 | $8.2 | $1.8 | 23% | 14 | 3 | 21% |
| 2017-04-01 | $6.2 | $3.9 | 63% | 14 | 3 | 21% |
| 2016-04-01 | $4.2 | $5.9 | 140% | 14 | 3 | 21% |
| 2015-04-01 | $3.5 | $6.6 | 190% | 11 | 6 | 55% |
| 2014-04-01 | $3.5 | $6.6 | 190% | 11 | 6 | 55% |
| 2013-04-01 | $1.5 | $8.5 | 550% | 10 | 7 | 70% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CT, AK-03/01/2018, AL-09/08/2010, AR-03/14/2017, AZ-08/31/2009, CA-11/28/2006, CO-07/07/2009, CT-02/18/2005, DC-03/14/2017, DE-03/26/2014, FL-12/05/2007, GA-07/07/2008, HI-03/30/2010, IA-03/14/2017, ID-03/14/2017, IL-10/05/2009, IN-10/07/2008, KS-07/01/2011, KY-08/31/2009, LA-03/29/2012, MA-03/31/2006, MD-08/31/2009, ME-03/14/2017, MI-08/31/2009, MN-01/05/2011, MO-03/14/2017, MS-03/01/2018, MT-03/14/2017, NC-05/28/2009, ND-03/01/2018, NE-03/26/2014, NH-03/26/2014, NJ-04/08/2008, NM-03/26/2014, NV-03/26/2014, NY-09/08/2008, OH-08/04/2008, OK-08/31/2009, OR-03/14/2017, PA-08/01/2007, PR-03/01/2018, RI-03/03/2022, SC-07/01/2011, SD-03/19/2021, TN-01/26/2010, TX-08/01/2007, UT-03/26/2014, VA-01/14/2010, VI-03/01/2018, VT-03/14/2017, WA-03/26/2014, WI-03/26/2014, WV-03/26/2014, WY-03/01/2018 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV