Stonebridge Advisors Llc
- Regulatory AUM
- $11.8B
- Discretionary
- $11.8B
- Clients
- 255
- Avg AUM / client
- $46.4M
- Accounts
- 3,739
- Employees
- 15
AUM over time
Annual snapshots from Form ADV filings · as of Mar 18, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 210 | $68.0M | 0.57% |
| High net worth individuals | 11 | $50.8M | 0.43% |
| Investment companies | 4 | $10.3B | 86.7% |
| Pension and profit sharing plans | 11 | $72.1M | 0.61% |
| Charitable organizations | 7 | $33.3M | 0.28% |
| Other investment advisers | 5 | $1.3B | 11.2% |
| Corporations and other businesses | 5 | $14.4M | 0.12% |
| Other | 2 | $16.9M | 0.14% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| U. A. Local 38 Defined Benefit Pension Plan Board Of Trustees Of U. A. Local 38 Trust Funds | 2024 | |
| Hawaii Sheet Metal Workers Pension Fund Hawaii Sheet Metal Workers Pension Fund | 2024 |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Fleming, Scott, Thomas | Chief Executive Officer | Jan 2003 (24y) | 75% or more of Stonebridge Asset Management, Llc (indirect) | |
| James Allen Bowen | Chairman Of The Board | Dec 2004 (22y) | 75% or more of Ajm Ventures Llc (indirect) | |
| Jardine, William, Scott | Secretary | Dec 2004 (22y) | Less than 5% | |
| Robert Allen Wolf | Evp, Cio | Aug 2006 (20y) | Less than 5% | |
| Craig Stephen Prichard | Director | Jul 2007 (19y) | Less than 5% | |
| Eric David Weaver | Evp, Pm | Dec 2013 (13y) | Less than 5% | |
| David Gerard Mcgarel | Director | CFA | Jan 2016 (11y) | Less than 5% |
| Dykas, James, Martin | Chief Financial Officer | Jan 2016 (11y) | Less than 5% | |
| Graci, Angelo, Dominick | Evp, Pm | Jan 2022 (5y) | Less than 5% | |
| Addonizio, Samantha | Chief Compliance Officer & Counsel | Jun 2024 (2y) | Less than 5% | |
| Connor Shepard Fleming | Registered representative | Jan 2015 (12y) | ||
| Shefki Vinca | Registered representative | Sep 2015 (11y) | ||
| Marie Belle Mikue | Registered representative | Nov 2016 (10y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| First Trust Capital Partners Llc | Member/Shareholder/Class A | Jan 2016 | A | 50% – 75% |
| Stonebridge Asset Management,Llc | Member/Shareholder/Class B | Dec 2004 | A | 25% – 50% |
| Grace Partners Of Dupage L.P. | Non Managing Member | Aug 2006 | B | ≈ 37.5% – 75% via First Trust Capital Partners Llc |
| Ajm Ventures Llc | Shareholder | Oct 2010 | B | 75% or more of The Charger Corporation (indirect) |
| The Charger Corporation | General Partner | Aug 1991 | B | GP / trustee / elected manager of Grace Partners Of Dupage L.P. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Grace Partners Of Dupage L.P.: 75% – 100% of First Trust Capital Partners Llc × 50% – 75% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| U. A. Local 38 Defined Benefit Pension Plan | Board Of Trustees Of U. A. Local 38 Trust Funds | 1,381 | $555M | 07/01/2024 |
| Hawaii Sheet Metal Workers Pension Fund | Hawaii Sheet Metal Workers Pension Fund | 430 | $316M | 02/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/18/2026 | 1.39 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $646M (5% of AUM) Mar 2026
- UBS $620M (5% of AUM) Mar 2026
- Wells Fargo $493M (7% of AUM) Jan 2019
- Morgan Stanley $185M (2% of AUM) Mar 2026
- Suntrust Investment Services, Inc. $67.2M (1% of AUM) Jan 2019
- RBC $33.0M (0% of AUM) Jan 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 18, 2026.
View current Form ADV (SEC/IAPD) ↗