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Asset manager · New York, NY

Stonecastle Asset Management, LLC

SEC-registered investment adviser · CRD 166252 · SEC 801-77433

At a glance

Stonecastle Asset Management, LLC is an SEC-registered investment adviser based in New York, New York, with $8 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is insurance companies. By Form ADV it is a asset manager, ranked 2,544th of 3,218 asset managers and 16,330th of 17,210 SEC-registered advisers by assets.

Main office 212-354-6500scpdevco.comAs filed on Form ADV

Regulatory AUM
$8M
Rank among asset managers
#2,544 of 3,218
Rank among all SEC RIAs
#16,330 of 17,210
Rank in New York
#2,474 of 2,591
Clients
1
Accounts
1
Discretionary
0% of AUM
Employees
6
Advisory staff
1
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

Custodian

  1. U.S. Bank$8M

Other RIAs using U.S. Bank

Broker-dealer

Hybrid RIA

Stonecastle Asset Management, LLC is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Stonecastle Securities, LLC.

Its Form ADV brochure (filed March 2026) names Stonecastle Securities as the broker-dealer its advisers are registered with.

The following officer of StoneCastle is a registered representative of StoneCastle Securities:

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
Insurance companies1$8M100%

Disciplinary disclosures

Stonecastle Asset Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Portfolio management for businesses and institutions

How it’s paid

  • A percentage of assets under management

Form ADV and brochures on the SEC’s adviser search ↗scpdevco.com ↗

AtlasMembers

The full record on Stonecastle Asset Management, LLC

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, ten years of filings
Locked
Growth over one, three and five years
Locked
Rank against 65 peers of its type and size
Locked
Owners and executives, with titles and stakes
4 namedLocked
Main office, fax and compliance officer
Locked
Filing changes this year, with alerts
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Stonecastle Asset Management, LLC manage?

Stonecastle Asset Management, LLC reports $8 million in regulatory assets under management across 1 accounts, on its Form ADV filed March 31, 2026.

What kind of firm is Stonecastle Asset Management, LLC?

Stonecastle Asset Management, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.

Who are Stonecastle Asset Management, LLC’s clients?

By assets, its largest client types are insurance companies ($8 million, 1 clients).

Does Stonecastle Asset Management, LLC have any disciplinary history?

Stonecastle Asset Management, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.

Where these numbers come from

Every figure is Stonecastle Asset Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →