{"url":"https://nivawealth.com/firms/stone-ridge-asset-management-165598","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/165598","regulatoryAum":36336039429,"crd":"165598","secFileNumber":"801-77228","legalName":"Stone Ridge Asset Management LLC","displayName":"Stone Ridge Asset Management","website":null,"linkedinUrl":"https://www.linkedin.com/company/stoneridgeam/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1 Vanderbilt Avenue, 65th FL","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10017"},"tradeNames":[],"registration":{"secApproved":"10 October 2012","noticeFilings":0,"latestNoticeFiling":null,"inventory":{"sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_SEC_Feed_10_15_2026.xml.gz","sourceAsOf":"2026-10-15","retrievedAt":"2026-10-16T03:16:53.781384+00:00","noticeFilings":[],"registrationStatus":[{"status":"Approved","jurisdiction":"SEC","effectiveDate":"2012-10-10"}]}},"staff":{"employees":238,"advisory":47,"brokerDealerReps":20,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":28659115714,"discretionaryAccounts":66,"nonDiscretionary":7676923715,"nonDiscretionaryAccounts":6,"wrapProgram":null,"nonUsClientsPct":17,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":17,"regulatoryAum":9738040364},{"label":"Pooled investment vehicles","clients":47,"regulatoryAum":14161754349},{"label":"Insurance companies","clients":7,"regulatoryAum":12074097567},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":362147149}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"HSBC Bank USA, N.A.","shortName":"HSBC Bank USA, N.A.","location":"New York, NY","smaAssets":4759321001}],"custodyNote":"Stone Ridge Asset Management has custody of $58.2M for 2 clients.","otherCustodians":[],"leadership":[{"name":"Ross Stevens","title":"Chief Executive Officer","crd":"2677566"},{"name":"Paul Germain","title":"President","crd":"2931495"},{"name":"Tomer Seifan","title":"Head of Alternative Fixed Income and Chief Financial Officer","crd":"4945712"},{"name":"Lauren Macioce","title":"General Counsel / Chief Compliance Officer","crd":"6621248"}],"ownership":[{"label":"Stone Ridge Holdings Group LP","detail":"Owner in the 75% or more ownership band and a control person, since September 2012."},{"label":"Ross Stevens","detail":"Indirect owner: a limited partner of Stone Ridge Holdings Group LP in the 25% to 50% band and a control person, since December 2017. Also a manager of general partner of Stone Ridge Holdings Group LP in the 25% to 50% band and a control person, since December 2017.","parent":"Stone Ridge Holdings Group LP"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"1 Vanderbilt Avenue, 65th FL","city":"New York","headquarters":true}]},{"state":"Texas","offices":1,"addresses":[{"street":"777 Post Oak Boulevard","city":"Houston"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-257-4750","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees","Other"],"activities":["Portfolio management for investment companies","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":"Non-exchange-traded equity securities","percent":2},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":80},{"label":"Other","percent":18,"detail":"Non-Government Bank Loans and Revenue-Producing Natural Gas, Liquid Natural Gas and Oil Wells."}],"privateFunds":19},"sources":{"adv1FilingDate":"24 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/165598/PDF/165598.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Stone Ridge Asset Management have?","answer":"Stone Ridge Asset Management has at least 72 clients and manages $36.3 billion for them, as of August 2026. They include 47 pooled investment vehicles, 17 investment companies and 7 insurance companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Stone Ridge Asset Management offer?","answer":"Stone Ridge Asset Management provides portfolio management for investment companies, 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 Stone Ridge Asset Management use?","answer":"Stone Ridge Asset Management’s separately managed account assets are held at HSBC Bank USA, N.A. (New York, NY), with $4,759,321,001. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Stone Ridge Asset Management have?","answer":"Stone Ridge Asset Management has 0 investment adviser representatives registered with state securities authorities, out of 238 employees, and 47 perform investment advisory functions. 20 are registered representatives of a broker-dealer and 0 are 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 Stone Ridge Asset Management invest in?","answer":"At the end of its last fiscal year, Stone Ridge Asset Management’s separately managed accounts held 80% pooled vehicles (private funds and similar), 18% non-government bank loans and revenue-producing natural gas, liquid natural gas and oil wells. and 2% non-exchange-traded equities. It advises 19 private funds.","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 Stone Ridge Asset Management?","answer":"Stone Ridge Asset Management is owned through a holding company by Ross Stevens. Its direct owner is Stone Ridge Holdings Group LP (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Stone Ridge Asset Management get paid?","answer":"Stone Ridge Asset Management is paid through a percentage of assets under management, performance-based fees and other arrangements. 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"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth 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."}