Stone Lake Wealth Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$63,500,000
Clients
30
100% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
30
TypicalAverage account size
$2,116,667
About
Stone Lake Wealth Management provides discretionary and non-discretionary investment management and financial planning to individuals (including high‑net‑worth clients), trusts, foundations, estates, businesses and retirement plans. In its most recent disclosure the firm reports approximately $43.6 million in discretionary assets under management and provides financial planning services covering roughly $94.5 million.
The firm follows a primarily long‑term investment approach built around a three‑step process — client interview, asset allocation and periodic review — and relies on both fundamental and quantitative analysis to construct portfolios of stocks, bonds, ETFs and mutual funds. The advisor may also transact shorter‑term to meet client needs and, where appropriate, uses options, futures, margin and active trading in concentrated portfolios rather than strictly passive or broadly diversified strategies.
Distinctive features include a principal with senior trading experience on Wall Street and an explicit willingness to incorporate leveraged and derivatives strategies alongside traditional allocations. The firm does not require a minimum account size, does not take custody of client assets beyond authorized fee deduction, and participates on an institutional custody platform that provides operational and reporting services.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Fee options
Financial planning fixed engagement fees generally ranging from $5,000 to $20,000
1.25% per year of assets under management
Financial planning services at $500 per hour
Fee-only: Financial planning services offered at $500/hour, fixed fees generally ranging from $5,000 to $20,000, or up to 1.25% of assets
Main office location
Stone Lake Wealth Management, LLC
Riverside CT, United States
Number of offices
1
Most active in
Stone Lake Wealth Management, LLC has reported serving >5 clients in these states in the last 12 months.
Connecticut · Texas · Virginia
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
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