{"url":"https://nivawealth.com/firms/stembrook-asset-management-144116","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/144116","regulatoryAum":147516006,"crd":"144116","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2406649","suffix":null,"lastName":"D'AGATI","firstName":"PETER","middleName":"DAVID"},{"crd":"5738565","suffix":null,"lastName":"KOSINSKI","firstName":"THOMAS","middleName":"CHRISTOPHER"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-03-25","regulatoryAum":127625470,"clients":39,"employees":2,"offices":4},{"filedOn":"2026-03-31","regulatoryAum":147516006,"clients":37,"employees":2,"offices":4}],"secFileNumber":"801-131731","legalName":"Stembrook Asset Management, LLC","displayName":"Stembrook Asset 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plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037574","versionId":1037574,"submittedOn":"2026-03-31","documentName":"STEMBROOK ASSET MANAGEMENT, LLC ADV BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:35:09.673442+00:00","documents":[{"name":"STEMBROOK ASSET MANAGEMENT, LLC ADV BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037574","versionId":1037574,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":144865861},{"name":"Coinbase Custody Trust Company, LLC","shortName":"Coinbase Custody Trust","location":"New York, NY","smaAssets":45292}],"custodyNote":"Stembrook Asset Management does not have custody of client 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They include 27 high-net-worth individuals, 9 individual clients and 1 corporate or other business client.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Stembrook Asset Management offer?","answer":"Stembrook Asset Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.","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 Stembrook Asset Management use?","answer":"Stembrook Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $145M and Coinbase Custody Trust Company, LLC (New York, NY), with $45.3K. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Stembrook Asset Management have?","answer":"Stembrook Asset Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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 Stembrook Asset Management invest in?","answer":"At the end of its last fiscal year, Stembrook Asset Management’s separately managed accounts held 59% registered funds (mutual funds, ETFs, BDCs), 40% exchange-traded equities and 1% investment grade corporate bonds.","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 Stembrook Asset Management?","answer":"Stembrook Asset Management’s direct owner is Peter D'Agati (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Stembrook Asset Management get paid?","answer":"Stembrook Asset Management is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees 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 Stembrook Asset Management?","answer":"Stembrook Asset Management’s main office is at 212 Maple Avenue, Suite 201, Red Bank, NJ 07701. Its phone number is 201-484-0063. Its website is stembrook.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/stembrook-asset-management-144116/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-12","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2109734/000210973426000006/0002109734-26-000006-index.html","totalValue":115816203,"positionCount":51,"top10Share":0.8356584354608828,"top10":[{"issuer":"APPLE INC","titleOfClass":"COM","cusip":"037833100","value":40395525,"shares":139603,"shareType":"SH"},{"issuer":"STATE STR SPDR S&P 500 ETF T","titleOfClass":"TR UNIT","cusip":"78462F103","value":19321181,"shares":25873,"shareType":"SH"},{"issuer":"VANGUARD TAX-MANAGED FDS","titleOfClass":"VAN FTSE DEV MKT","cusip":"921943858","value":10095840,"shares":141696,"shareType":"SH"},{"issuer":"VANGUARD BD INDEX FDS","titleOfClass":"TOTAL BND 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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."}