Marstone Llc
- Regulatory AUM
- $2.8M
- Discretionary
- $2.8M
- Clients
- 142
- Avg AUM / client
- $19.9K
- Accounts
- 180
- Employees
- 1
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 139 | $2.0M | 70.7% |
| Other investment advisers | 3 | $827K | 29.3% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Margaret Josephine Hartigan | Shareholder | Jun 2011 (15y) | ≈ 18.75% – 50% via Marstone, Inc | |
| Lavine, Christopher, Dalton | Chief Financial Officer | Dec 2017 (9y) | Less than 5% | |
| Uruba, James | Chief Compliance Officer | Oct 2020 (6y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Marstone, Inc | Managing Member | Sep 2012 | 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):
- Margaret Josephine Hartigan: 25% – 50% of Marstone, Inc × 75% – 100% direct ≈ 18.75% – 50% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/24/2026 | 894 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
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Pershing $2.8M (100% 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: Aug 04, 2026.
View current Form ADV (SEC/IAPD) ↗