{"url":"https://nivawealth.com/firms/j-stern-and-co-323871","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/323871","regulatoryAum":2234876930,"crd":"323871","history":[{"filedOn":"2023-06-28","regulatoryAum":835019355,"clients":61,"employees":29,"offices":1},{"filedOn":"2024-07-30","regulatoryAum":1282580347,"clients":65,"employees":28,"offices":1},{"filedOn":"2025-06-27","regulatoryAum":1898597175,"clients":73,"employees":30,"offices":1},{"filedOn":"2026-06-29","regulatoryAum":2234876930,"clients":72,"employees":42,"offices":1}],"secFileNumber":"801-127099","legalName":"J. Stern & Co. LLP","displayName":"J. Stern & Co.","slug":"j-stern-and-co-323871","website":"https://jsternco.com/","classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"founded":null,"organization":"limited liability partnership organized in United Kingdom","fiscalYearEnd":"March","headquarters":{"street":"4 Carlton Gardens","city":"London","state":"","stateName":"","country":"United Kingdom","postalCode":"SW1Y 5AA"},"tradeNames":[],"registration":{"secApproved":"18 January 2023","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":17123511.75,"staff":{"employees":42,"advisory":12,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":2234876930,"discretionary":1857631879,"discretionaryAccounts":69,"nonDiscretionary":377245051,"nonDiscretionaryAccounts":3,"wrapProgram":null,"nonUsClientsPct":93,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":12,"regulatoryAum":42390160},{"label":"High-net-worth individuals","clients":52,"regulatoryAum":1053514592},{"label":"Pooled investment vehicles","clients":4,"regulatoryAum":1110417633},{"label":"Charitable organizations","clients":4,"fewerThan5":true,"regulatoryAum":28554545}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Unicredit S.p.a.","shortName":"Unicredit S.p.a.","location":"Milan","smaAssets":116676738},{"name":"Bank Julius Baer & Co. LTD","shortName":"Bank Julius Baer & Co.","location":"Zurich","smaAssets":263368363},{"name":"Multrees Investor Services Limited","shortName":"Multrees Investor Services Limited","location":"London","smaAssets":165230758},{"name":"UBS Ag","shortName":"UBS Ag","location":"Zurich","smaAssets":172106628}],"custodyNote":"J. Stern & Co. does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Thomas Price","title":"Managing Partner & Chief Compliance Officer","crd":"7685056"},{"name":"Irshaad Ahmad","title":"Partner","crd":"8301263"},{"name":"Jean-Yves Chereau","title":"Partner","crd":"7686529"},{"name":"Christopher Rossbach","title":"Managing Partner","crd":"2542566"}],"ownership":[{"label":"Christopher Rossbach","detail":"Managing partner in the 75% or more ownership band and a control person, since November 2012."},{"label":"Thomas Price","detail":"Managing partner & chief compliance officer in the 10% to 25% ownership band and a control person, since December 2014."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"4402034781800","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":65},{"label":"U.S. government/agency bonds","percent":1},{"label":"Sovereign bonds","percent":4},{"label":"Investment grade corporate bonds","percent":5},{"label":"Non-investment grade corporate bonds","percent":5},{"label":"Cash and cash equivalents","percent":17},{"label":"Other","percent":3,"detail":"Aif"}],"privateFunds":0},"sources":{"adv1FilingDate":"29 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/323871/PDF/323871.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does J. Stern & Co. have?","answer":"J. Stern & Co. has 72 clients and manages $2.23 billion for them, as of June 2026. They include 52 high-net-worth individuals, 12 individual clients and 4 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 29 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does J. Stern & Co. offer?","answer":"J. Stern & Co. provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does J. Stern & Co. use?","answer":"J. Stern & Co.’s separately managed account assets are held at Bank Julius Baer & Co. LTD (Zurich), with $263M, UBS Ag (Zurich), with $172M, Multrees Investor Services Limited (London), with $165M and Unicredit S.p.a. (Milan), with $117M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does J. Stern & Co. have?","answer":"J. Stern & Co. has 0 investment adviser representatives registered with state securities authorities, out of 42 employees, and 12 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does J. Stern & Co. invest in?","answer":"At the end of its last fiscal year, J. Stern & Co.’s separately managed accounts held 65% exchange-traded equities, 17% cash and equivalents, 5% investment grade corporate bonds, 5% high-yield corporate bonds, 4% sovereign bonds, 3% other and 1% U.S. government and agency bonds. The 3% other category is described as: Aif.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns J. Stern & Co.?","answer":"J. Stern & Co.’s direct owners are Christopher Rossbach (75% or more) and Thomas Price (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 29 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does J. Stern & Co. get paid?","answer":"J. Stern & Co. is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact J. Stern & Co.?","answer":"J. Stern & Co.’s main office is at 4 Carlton Gardens, London, United Kingdom SW1Y 5AA. Its phone number is 4402034781800. Its website is jsternco.com.","source":"Form ADV Part 1A, Item 1.F, filed 29 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/j-stern-and-co-323871/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-14","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2011335/000201133526000004/0002011335-26-000004-index.html","totalValue":1059332027,"positionCount":51,"top10Share":0.6837747236353499,"top10":[{"issuer":"NVIDIA CORPORATION","titleOfClass":"COM","cusip":"67066G104","value":122020284,"shares":609827,"shareType":"SH","priorValue":108015338,"priorShares":619354},{"issuer":"ALPHABET INC","titleOfClass":"CAP STK CL C","cusip":"02079K107","value":110217407,"shares":311939,"shareType":"SH","priorValue":91102720,"priorShares":317586},{"issuer":"AMPHENOL CORP","titleOfClass":"CL 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}