{"url":"https://nivawealth.com/firms/stonefield-investment-advisory-113802","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/113802","regulatoryAum":120250000,"crd":"113802","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2454413","suffix":null,"lastName":"WERNER","firstName":"JON","middleName":"ROBERT"}],"total":1,"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"},"secFileNumber":"801-134194","legalName":"Stonefield Investment Advisory, Inc.","displayName":"Stonefield Investment Advisory","slug":"stonefield-investment-advisory-113802","website":"https://stonefieldinvestments.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/stonefield-investment-advisory","founded":null,"organization":"Iowa corporation","fiscalYearEnd":"December","headquarters":{"street":"425 2nd Street Se, Suite 1200","city":"Cedar Rapids","state":"IA","stateName":"Iowa","country":"United States","postalCode":"52401-1818"},"tradeNames":[],"registration":{"secApproved":"20 August 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":595303.8674033149,"staff":{"employees":2,"advisory":1,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":120250000,"discretionary":120250000,"discretionaryAccounts":386,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":5},"clientTypes":[{"label":"Individuals (other than HNW)","clients":152,"regulatoryAum":49627431},{"label":"High-net-worth individuals","clients":29,"regulatoryAum":58122569},{"label":"Pension and profit-sharing plans","clients":2,"regulatoryAum":12000000},{"label":"Corporations and other businesses","clients":1,"regulatoryAum":500000}],"feePrograms":[{"role":"main","program":"Assets Under Management (AUM)","feeBasis":"marginal","fee_tiers":[{"to":100000,"pct":1.6,"from":0},{"to":500000,"pct":1.2,"from":100000},{"to":1000000,"pct":1,"from":500000},{"to":null,"pct":0.88,"from":1000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004127","versionId":1004127,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-01-27","documentName":"FORM ADV PART 2 AND 2B","fee_rate_low":0.88,"fee_rate_high":1.6,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Consulting Services","summary":"Flat fee or hourly fee, with complex work billed at $300 an hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004127","versionId":1004127,"submittedOn":"2026-01-27","documentName":"FORM ADV PART 2 AND 2B"},{"role":"other","program":"ERISA Consulting","summary":"Optional asset-based fee of 0.60% a year on assets under $150,000, 0.50% from $150,000 to $300,000, and 0.40% above $300,000, paid quarterly.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004127","versionId":1004127,"submittedOn":"2026-01-27","documentName":"FORM ADV PART 2 AND 2B"},{"role":"other","program":"ERISA Plan Participant Agreement","summary":"Annual flat fee or asset-based fee, with a maximum annual fee of 1.5%, paid in arrears.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004127","versionId":1004127,"submittedOn":"2026-01-27","documentName":"FORM ADV PART 2 AND 2B"},{"role":"other","program":"Financial Planning","summary":"Flat fee of $1,200 to $3,000, or an hourly fee; complex work is billed at $300 an hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004127","versionId":1004127,"submittedOn":"2026-01-27","documentName":"FORM ADV PART 2 AND 2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:16:10.470791+00:00","documents":[{"name":"FORM ADV PART 2 AND 2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004127","versionId":1004127,"submittedOn":"2026-01-27"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"West Lake, TX","smaAssets":110250000}],"custodyNote":"Stonefield Investment Advisory has custody of $42.9M in client assets for 85 clients.","leadership":[{"name":"Jon Werner","title":"President, Chief Compliance Officer","crd":"2454413"}],"ownership":[{"label":"Jon Werner","detail":"President, chief compliance officer in the 75% or more ownership band and a control person, since November 2005."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Iowa","offices":1,"addresses":[{"street":"425 2nd Street Se, Suite 1200","city":"Cedar Rapids","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"319-377-7811","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":65},{"label":"Securities issued by registered investment companies or business development companies","percent":25},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"27 January 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/113802/PDF/113802.pdf","brochureDate":"27 January 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004127","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Stonefield Investment Advisory have?","answer":"Stonefield Investment Advisory has 184 clients and manages $120 million for them, as of January 2026. They include 152 individual clients, 29 high-net-worth individuals, and 2 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 January 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Stonefield Investment Advisory offer?","answer":"Stonefield Investment Advisory provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Stonefield Investment Advisory charge?","answer":"Stonefield Investment Advisory charges 0.88%–1.60% a year for its Assets Under Management (AUM). Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"FORM ADV PART 2 AND 2B, filed 27 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Stonefield Investment Advisory use?","answer":"Stonefield Investment Advisory’s separately managed account assets are held at Charles Schwab & Co., Inc. (West Lake, TX), with $110M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 January 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Stonefield Investment Advisory have?","answer":"Stonefield Investment Advisory has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Stonefield Investment Advisory invest in?","answer":"At the end of its last fiscal year, Stonefield Investment Advisory’s separately managed accounts held 65% exchange-traded equities, 25% registered funds (mutual funds, ETFs, BDCs) and 10% cash and equivalents.","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 Stonefield Investment Advisory?","answer":"Stonefield Investment Advisory’s direct owner is Jon Werner (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 January 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Stonefield Investment Advisory get paid?","answer":"Stonefield Investment Advisory is paid through a percentage of assets under management and hourly charges. 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":"Is Stonefield Investment Advisory registered with the SEC?","answer":"Yes, Stonefield Investment Advisory has been registered with the SEC as an investment adviser since 20 August 2025. Its CRD number is 113802 and its SEC file number is 801-134194.","source":"Form ADV Part 1A, Item 1, filed 27 January 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Stonefield Investment Advisory?","answer":"Stonefield Investment Advisory’s main office is at 425 2nd Street Se, Suite 1200, Cedar Rapids, IA 52401-1818. Its phone number is 319-377-7811. Its website is stonefieldinvestments.com.","source":"Form ADV Part 1A, Item 1.F, filed 27 January 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"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 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."}