A.L. Stuart Investments, Llc
- Regulatory AUM
- —
- Discretionary
- —
- Clients
- —
- Avg AUM / client
- —
- Accounts
- —
- Employees
- —
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $35.2M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Stuart Family Fund, Llc | Other Private Fund | New York | $35.2M | 38 |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lubin, Ronda, Halperin | Chief Compliance Officer | Aug 2011 (15y) | Less than 5% | |
| Stuart, Alan, Lincoln | Chief Executive Officer | Aug 2011 (15y) | ≈ 37.5% – 75% via A.L. Stuart Financial Services, Llc |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| A.L. Stuart Financial Services, Llc | Managing Member | Aug 2011 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Stuart, Alan, Lincoln: 50% – 75% of A.L. Stuart Financial Services, Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
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.
Private funds (1, $35.2M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Stuart Family Fund, Llc | Other Private Fund | $35.2M | $0 | 38 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 512 KB | 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
Not reported.
Custody
Reported custodians
- Charles Schwab & Co. $25.0M (27% of AUM) Mar 2018
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 31, 2026.
View current Form ADV (SEC/IAPD) ↗