← Tributary

STONE HOUSE INVESTMENT MANAGEMENT, LLC

TUNKHANNOCK, PA · CRD 139410 · IAPD ↗ · (570) 836-7020

$841.7MRegulatory AUM
17Advisory reps
18Employees
0Clients
1-10Planning clients
0Private funds
16States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
August 2026 — STONE HOUSE INVESTMENT MANAGEMENT, LLC notice-filed in IL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2026 — STONE HOUSE INVESTMENT MANAGEMENT, LLC notice-filed in KY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
April 2026 — STONE HOUSE INVESTMENT MANAGEMENT, LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
63
April 2026 — STONE HOUSE INVESTMENT MANAGEMENT, LLC reported RAUM up 26% ($669.9M -> $841.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
72
April 2026 — STONE HOUSE INVESTMENT MANAGEMENT, LLC grew from 13 to 17 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
April 2025 — STONE HOUSE INVESTMENT MANAGEMENT, LLC notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2025 — STONE HOUSE INVESTMENT MANAGEMENT, LLC added office(s): 5 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
47
November 2024 — STONE HOUSE INVESTMENT MANAGEMENT, LLC notice-filed in VA, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
August 2024 — STONE HOUSE INVESTMENT MANAGEMENT, LLC notice-filed in SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2024 — STONE HOUSE INVESTMENT MANAGEMENT, LLC notice-filed in WV.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2024 — STONE HOUSE INVESTMENT MANAGEMENT, LLC added office(s): 3 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
68
April 2024 — STONE HOUSE INVESTMENT MANAGEMENT, LLC now reports custody of client assets ($74.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2024 — STONE HOUSE INVESTMENT MANAGEMENT, LLC crossed $500M in regulatory AUM ($401.5M -> $544.5M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
April 2024 — STONE HOUSE INVESTMENT MANAGEMENT, LLC grew from 10 to 12 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.