Clients
Stonebridge Advisors serves 255 clients, 210 of them other individuals. The average client has about $46 million with the firm, and high-net-worth clients hold 0% of its $11.8 billion in assets.
- Investment companies4 clients87%
- Other investment advisers5 clients11%
- OtherIndividuals, High-net-worth individuals, Pension and profit-sharing plans, Charitable organizations, Corporations and other businesses, Other2%
Show client breakdownHide client breakdown
| Client type | Clients | Regulatory AUM | Share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 210 | $67,962,054 | 0.6% | $324K |
| High-net-worth individuals | 11 | $50,833,684 | 0.4% | $4.62M |
| Investment companies | 4 | $10,255,202,416 | 86.7% | $2.56B |
| Pension and profit-sharing plans | 11 | $72,101,649 | 0.6% | $6.55M |
| Charitable organizations | 7 | $33,342,951 | 0.3% | $4.76M |
| Other investment advisers | 5 | $1,322,398,306 | 11.2% | $264.5M |
| Corporations and other businesses | 5 | $14,383,244 | 0.1% | $2.88M |
| Other | 2 | $16,893,475 | 0.1% | $8.45M |
| Total | 255 | $11,833,117,779 | 100% | $46.4M |
- Clients
- 210
- Regulatory AUM
- $67,962,054
- Share
- 0.6%
- Avg. per client
- $324K
- Clients
- 11
- Regulatory AUM
- $50,833,684
- Share
- 0.4%
- Avg. per client
- $4.62M
- Clients
- 4
- Regulatory AUM
- $10,255,202,416
- Share
- 86.7%
- Avg. per client
- $2.56B
- Clients
- 11
- Regulatory AUM
- $72,101,649
- Share
- 0.6%
- Avg. per client
- $6.55M
- Clients
- 7
- Regulatory AUM
- $33,342,951
- Share
- 0.3%
- Avg. per client
- $4.76M
- Clients
- 5
- Regulatory AUM
- $1,322,398,306
- Share
- 11.2%
- Avg. per client
- $264.5M
- Clients
- 5
- Regulatory AUM
- $14,383,244
- Share
- 0.1%
- Avg. per client
- $2.88M
- Clients
- 2
- Regulatory AUM
- $16,893,475
- Share
- 0.1%
- Avg. per client
- $8.45M
Total
- Clients
- 255
- Regulatory AUM
- $11,833,117,779
- Share
- 100%
- Avg. per client
- $46.4M
What it does
Stonebridge Advisors provides portfolio management for individuals and small businesses, portfolio management for investment companies and portfolio management for institutions. It is paid through a percentage of assets.
Stonebridge Advisors advises no private funds.
100.0% of assets ($11.83B across 3,739 accounts) are managed with discretion. $1.58B sits in a wrap fee program the firm both sponsors and manages. 1% of clients are outside the U.S., and 10 clients received advice without assets under management last fiscal year.
What the accounts hold
The filed percentages total 104%. The values below are shown as filed.
- Exchange-traded equity securities
- 90%
- Securities issued by registered investment companies or business development companies
- 1%
- Cash and cash equivalents
- 2%
- Other (Preferred and Hybrid Securities)
- 11%
Custodians
Stonebridge Advisors’ client accounts are held mainly at Charles Schwab, with 5% of managed assets, and UBS Financial Services, with 5%. Stonebridge Advisors does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $645.7M5%
- UBS Financial ServicesUBS Financial Services Inc. · Weehawken, NJ · $620.4M5%
- Morgan StanleyMorgan Stanley Smith Barney LLC · Purchase, NY · $185.2M2%
- All other custodians$10.38B88%
Ownership and leadership
First Trust Capital Partners LLC owns 50% to 75% of Stonebridge Advisors, and Scott Fleming is its CEO.
- Owns 50% to 75% of Stonebridge Advisors LLC
First Trust Capital Partners LLC
Control person · since January 2016
- Owns 75% or more of First Trust Capital Partners LLC
Grace Partners of Dupage L.P.
since August 2006
The Charger Corporation
General partner · Control person · since August 1991
- Owns 75% or more of The Charger Corporation
Ajm Ventures LLC
Control person · since October 2010
- Owns 75% or more of Ajm Ventures LLC
James Bowen
Control person · since October 2010
- Owns 25% to 50% of Stonebridge Advisors LLC
Stonebridge Asset Management,llc
Control person · since December 2004
- Owns 75% or more of Stonebridge Asset Management,llc
Scott Fleming
Control person · since January 2003
Leadership
- Scott FlemingChief Executive Officer
- James DykasChief Financial Officer
- Samantha AddonizioChief Compliance Officer & Counsel
- James BowenChairman of the Board
- Angelo GraciEVP, PM
- William JardineSecretary
- David McGarelDirector
- Craig PrichardDirector
- Eric WeaverEVP, PM
- Robert WolfEVP, CIO
Staff
- 15 employees
- 9 in advisory functions
- 5 state-registered reps
- 1 broker-dealer rep
- 1 insurance agent
- 1 soliciting firm
Reported holdings
Stonebridge Advisors’ reported 13F holdings total $83.0M across 3 positions, and the ten largest make up 100.0% of it.
- $83.0M
- Reported 13F value
- 3
- Positions
- 100.0%
- In the 10 largest
- −1.8%
- Value vs. prior quarter
- Wells Fargo & CO · Perp Pfd Cnv A83.3%
- Invesco Exch Traded FD TR II · Pfd ETF16.1%
- iShares TR · Iboxx Inv CP ETF0.7%
Together, the ten largest are 100.0% of reported value.
A 13F covers only exchange-traded long positions the firm holds with discretion, so this $83.0M is not its $11.83B in regulatory assets and does not represent any individual client's portfolio.
Fees
Stonebridge Advisors is paid through a percentage of assets under management.
Stonebridge Advisors’ fee rates are not included in this profile. Find its brochure on the SEC’s site.
Offices and registrations
Besides its headquarters, Stonebridge Advisors has 0 offices, with 1 listed address in 1 state.
Connecticut · 1 listed address
- 10 Westport Road, Suite C101, WiltonHQ
Registration details
- Legal name
- Stonebridge Advisors LLC
- Headquarters
- 10 Westport Road, Suite C101, Wilton, CT 06897-4543
- Phone
- 203-762-0004
- Website
- Not reported
- SEC file
- 801-63899
- Structure
- Delaware LLC
- Fiscal year end
- December
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov
Common questions
How many clients does Stonebridge Advisors have?
Stonebridge Advisors has 255 clients and manages $11.8 billion for them, as of March 2026. They include 210 other individuals, 11 high-net-worth individuals and 11 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 18 March 2026
What services does Stonebridge Advisors offer?
Stonebridge Advisors provides portfolio management for individuals and small businesses, portfolio management for investment companies and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Stonebridge Advisors use?
Stonebridge Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $645,711,535, UBS Financial Services Inc. (Weehawken, NJ), with $620,436,842 and Morgan Stanley Smith Barney LLC (Purchase, NY), with $185,205,112. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 March 2026
How many financial advisors does Stonebridge Advisors have?
Stonebridge Advisors has 5 investment adviser representatives registered with state securities authorities, out of 15 employees, and 9 perform investment advisory functions. 1 are registered representatives of a broker-dealer and 1 are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Stonebridge Advisors invest in?
At the end of its last fiscal year, Stonebridge Advisors’ separately managed accounts held 90% exchange-traded equities, 11% preferred and hybrid securities, 2% cash and equivalents and 1% registered funds (mutual funds, ETFs, BDCs). It advises no private funds of its own.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Stonebridge Advisors?
Stonebridge Advisors is owned through a trust and a chain of holding companies by Scott Fleming and James Bowen. Its direct owners are Stonebridge Asset Management,llc (25% to 50%) and First Trust Capital Partners LLC (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 18 March 2026
How does Stonebridge Advisors get paid?
Stonebridge Advisors is paid through a percentage of assets under management. 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