SEC-registered wealth management firm Broker-dealer affiliated
Stonex Advisors Inc.
As of its Form ADV filed June 17, 2026, Stonex Advisors Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Birmingham, Alabama, reported $5.1 billion in regulatory assets under management across 15,487 accounts, ranking #5 among all wealth firms in Alabama by assets.
Registration
- Main office
- Birmingham, AL
- Registration
- SEC-registered, Approved
- CRD number
- 174182
- SEC file number
- 801-80747
- Registered since
- December 17, 2014
- Latest Form ADV filing
- June 17, 2026
- Organized as
- Corporation
- Fiscal year ends
- September
- Other offices
- 155
Key figures
- Regulatory assets under management
- $5.1 billion
- Discretionary
- $3.8 billion (74.7%)
- Non-discretionary
- $1.3 billion
- Accounts
- 15,487 (11,545 discretionary)
- Clients
- 9,895, approximate as reported
- Employees
- 220
- Advisory staff
- 220 performing investment advisory functions
- Average account
- $328,849
- Asset growth, 1 year
- 12.8% (from $4.5 billion a year earlier)
- Asset growth, 3-year annual rate
- 26.3% (from $2.5 billion three years earlier)
- Asset growth, 5-year annual rate
- 19.6% (from $2.1 billion five years earlier)
- Client growth, 1 year
- -0.5% (from 9,942)
Broker-dealer affiliated. The firm is affiliated with a broker-dealer (Item 7.A(1)), at least half of its advisory staff are registered representatives of a broker-dealer (Item 5.B(2) against 5.B(1)), and its advisers manage less than $100 million each on average (5.F(2)(c) over 5.B(1)), the pattern of a broker-dealer's advisory arm rather than an adviser that owns a small broker-dealer. It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2015 | $399.9 million |
| October 3, 2016 | $1.2 billion |
| October 2, 2017 | $1.1 billion |
| October 1, 2018 | $1.4 billion |
| October 1, 2019 | $1.4 billion |
| October 1, 2020 | $478.3 million |
| October 4, 2021 | $2.1 billion |
| October 3, 2022 | $3.2 billion |
| October 5, 2023 | $2.5 billion |
| October 1, 2024 | $3.3 billion |
| September 2, 2025 | $4.5 billion |
| October 2, 2026 | $5.1 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 1,020 clients | $2.6 billion | |
| Individuals (other than high net worth) 8,721 clients | $2.3 billion | |
| Corporations or other businesses 96 clients | $122.4 million | |
| State or municipal government entities 3 clients | $85.8 million | |
| Charitable organizations 3 clients | $3.7 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
- Selection of other advisers
- Educational seminars or workshops
- Other
Financial planning clients (Item 5.H): 51-100.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Commodity pool operator or commodity trading advisor
- Futures commission merchant
- Insurance company or agency
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 234
- Also registered through a broker-dealer
- 233
- Employees who are IARs (Form ADV 5.B(3))
- 215
Designations held by the firm's IARs: CFP 30, ChFC 8, CFA 2.
Between 60 and 81 of the firm's 234 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 4 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Alabama
| Firm | City | RAUM |
|---|---|---|
| Eversource Wealth Advisors, LLC | Birmingham | $5.1 billion |
| Keel Point, LLC | Huntsville | $4.1 billion |
| The Welch Group, LLC | Birmingham | $3.7 billion |
| Oneascent Financial Services LLC | Birmingham | $3.5 billion |
| Leavell Investment Management, Inc. | Mobile | $3.4 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Stonex Advisors Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.stonex.com/en/wealth-management.com
- Wealth management firms in Alabama
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.