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J. STONE MANAGEMENT LLC

dba J. STONE MANAGEMENT LLC · CRD 324516 · Exempt Reporting Adviser

Regulatory disclosureCivil/Other disclosureManages private funds

J. STONE MANAGEMENT LLC is a Exempt Reporting Adviser headquartered in SAN JUAN, PR. As an Exempt Reporting Adviser, the firm does not report regulatory assets under management on this form, and manages 1 private fund(s). It reports 7 Form ADV Item 11 disciplinary disclosure(s) (Regulatory, Civil/Other).

Regulatory assets under management

Discretionary—
Non-discretionary—
Total RAUM—
Accounts—

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 7 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)—
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)Yes

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 324516. adviserinfo.sec.gov/firm/summary/324516.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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