Stone Securities Inc.
- Regulatory AUM
- $72.5M
- Discretionary
- $68.3M
- Clients
- 103
- Avg AUM / client
- $704K
- Accounts
- 103
- Employees
- 4
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 92 | $56.2M | 77.4% |
| High net worth individuals | 10 | $15.7M | 21.7% |
| Other | 1 | $645K | 0.89% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Glunt Industries, Inc. 401(k) Profit Sharing Plan Glunt Industries, Inc. | 2024 | |
| Pennsylvania Tool Sales & Services Profit Sharing Plan Pennsylvania Tool Sales & Services | 2024 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Cheryl Lisa Chin | Registered representative | Jun 2012 (14y) | ||
| Stephen Darrell Moore | Registered representative | Jun 2012 (14y) | ||
| Glenn Franklin Ferrell | Registered representative | Mar 2014 (12y) | ||
| Clare Baruffaldi Kull | Registered representative | Feb 2020 (6y) |
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.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Glunt Industries, Inc. 401(k) Profit Sharing Plan | Glunt Industries, Inc. | 156 | $12.5M | 07/01/2024 |
| Pennsylvania Tool Sales & Services Profit Sharing Plan | Pennsylvania Tool Sales & Services | 137 | $58.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/09/2026 | 1.28 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
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $72.5M (100% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Jul 09, 2026.
View current Form ADV (SEC/IAPD) ↗