Stm Asset Management Llc
State-registered
Insurance-Affiliated · Boutique (under $100M)
CRD 150213
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· WWW.STMASSETMANAGEMENT.COM
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ADV data as of Mar 18, 2026
- Regulatory AUM
- $56.0M
- Discretionary
- $46.0M
- Clients
- 504
- Avg AUM / client
- $111K
- Accounts
- 508
- Employees
- 3
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 498 | $40.0M | 71.5% |
| High net worth individuals | Fewer than 5 clients | $6.0M | 10.8% |
| Corporations and other businesses | 6 | $9.9M | 17.8% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Sean Thomas Mcclay | Registered representative | Jun 2009 (17y) | ||
| Nathan Gregory Faircloth | Registered representative | Oct 2011 (15y) | ||
| Nathan Daniel Lippincott | Registered representative | Jun 2015 (11y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/18/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Interactive Brokers $25.5M (46% of AUM) Mar 2026
- Goldman Sachs $20.5M (37% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 18, 2026.
View current Form ADV (SEC/IAPD) ↗