{"url":"https://nivawealth.com/firms/stonebridge-advisors-134017","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/134017","regulatoryAum":11833117779,"crd":"134017","secFileNumber":"801-63899","legalName":"Stonebridge Advisors LLC","displayName":"Stonebridge Advisors","website":null,"linkedinUrl":"https://www.linkedin.com/company/stonebridge-advisors-llc","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"10 Westport Road, Suite C101","city":"Wilton","state":"CT","stateName":"Connecticut","country":"United States","postalCode":"06897-4543"},"tradeNames":[],"registration":{"secApproved":"18 February 2005","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":15,"advisory":9,"brokerDealerReps":1,"insuranceAgents":1,"promoters":1},"aum":{"discretionary":11833117779,"discretionaryAccounts":3739,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":1577915363,"nonUsClientsPct":1,"nonAumClients":10},"clientTypes":[{"label":"Individuals (other than HNW)","clients":210,"regulatoryAum":67962054},{"label":"High-net-worth individuals","clients":11,"regulatoryAum":50833684},{"label":"Investment companies","clients":4,"regulatoryAum":10255202416},{"label":"Pension and profit-sharing plans","clients":11,"regulatoryAum":72101649},{"label":"Charitable organizations","clients":7,"regulatoryAum":33342951},{"label":"Other investment advisers","clients":5,"regulatoryAum":1322398306},{"label":"Corporations and other businesses","clients":5,"regulatoryAum":14383244},{"label":"Other","clients":2,"regulatoryAum":16893475}],"fees":[],"feeNotes":[],"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":645711535},{"name":"UBS Financial Services Inc.","shortName":"UBS Financial Services","location":"Weehawken, NJ","smaAssets":620436842},{"name":"Morgan Stanley Smith Barney LLC","shortName":"Morgan Stanley","location":"Purchase, NY","smaAssets":185205112}],"custodyNote":"Stonebridge Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Scott Fleming","title":"Chief Executive Officer","crd":"1326991"},{"name":"James Dykas","title":"Chief Financial Officer","crd":"2264809"},{"name":"Samantha Addonizio","title":"Chief Compliance Officer & Counsel","crd":"2855022"},{"name":"James Bowen","title":"Chairman of the Board","crd":"1123316"},{"name":"Angelo Graci","title":"EVP, PM","crd":"4228662"},{"name":"William Jardine","title":"Secretary","crd":"2609233"},{"name":"David McGarel","title":"Director","crd":"2945880"},{"name":"Craig Prichard","title":"Director","crd":"1631937"},{"name":"Eric Weaver","title":"EVP, PM","crd":"5638073"},{"name":"Robert Wolf","title":"EVP, CIO","crd":"4234911"}],"ownership":[{"label":"Stonebridge Asset Management,llc","detail":"Member/shareholder/class b in the 25% to 50% ownership band and a control person, since December 2004."},{"label":"First Trust Capital Partners LLC","detail":"Member/shareholder/class a in the 50% to 75% ownership band and a control person, since January 2016."},{"label":"Scott Fleming","detail":"Indirect owner: a owner of Stonebridge Asset Management,llc in the 75% or more band and a control person, since January 2003.","parent":"Stonebridge Asset Management,llc"},{"label":"The Charger Corporation","detail":"Indirect owner: general partner of Grace Partners of Dupage L.P. and a control person, since August 1991. Also managing member of First Trust Capital Partners LLC and a control person, since August 2006.","parent":"Grace Partners of Dupage L.P."},{"label":"Grace Partners of Dupage L.P.","detail":"Indirect owner: a non-managing member of First Trust Capital Partners LLC in the 75% or more band, since August 2006.","parent":"First Trust Capital Partners LLC"},{"label":"James Bowen","detail":"Indirect owner: a sole shareholder of Ajm Ventures LLC in the 75% or more band and a control person, since October 2010.","parent":"Ajm Ventures LLC"},{"label":"Ajm Ventures LLC","detail":"Indirect owner: a shareholder of The Charger Corporation in the 75% or more band and a control person, since October 2010.","parent":"The Charger Corporation"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"Connecticut","offices":1,"addresses":[{"street":"10 Westport Road, Suite C101","city":"Wilton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"203-762-0004","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":90},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":11,"detail":"Preferred and Hybrid Securities"}],"privateFunds":0},"sources":{"adv1FilingDate":"18 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/134017/PDF/134017.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Stonebridge Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Stonebridge Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Stonebridge Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Stonebridge Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Stonebridge Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Stonebridge Advisors?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Stonebridge Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":{"url":"https://nivawealth.com/firms/stonebridge-advisors-134017/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-05","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1367441/000136744126000007/0001367441-26-000007-index.html","totalValue":83036321,"positionCount":3,"top10Share":1,"top10":[{"issuer":"WELLS FARGO & CO","titleOfClass":"PERP PFD CNV A","cusip":"949746804","value":69142288,"shares":59744,"shareType":"SH","priorValue":71231521,"priorShares":61657},{"issuer":"INVESCO EXCH TRADED FD TR II","titleOfClass":"PFD ETF","cusip":"46138E511","value":13340959,"shares":1230714,"shareType":"SH","priorValue":13314737,"priorShares":1223779},{"issuer":"ISHARES TR","titleOfClass":"IBOXX INV CP ETF","cusip":"464287242","value":553074,"shares":5071,"shareType":"SH"}],"positionsListed":3,"positions":[{"issuer":"WELLS FARGO & CO","titleOfClass":"PERP PFD CNV A","cusip":"949746804","value":69142288,"shares":59744,"shareType":"SH","priorValue":71231521,"priorShares":61657},{"issuer":"INVESCO EXCH TRADED FD TR II","titleOfClass":"PFD ETF","cusip":"46138E511","value":13340959,"shares":1230714,"shareType":"SH","priorValue":13314737,"priorShares":1223779},{"issuer":"ISHARES TR","titleOfClass":"IBOXX INV CP ETF","cusip":"464287242","value":553074,"shares":5071,"shareType":"SH"}]},"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."}