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STAINES FINANCIAL, LLC
CRD 299405File 801-114428
APPROVED
Custody
Filing as of Jun 2, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$168.7M
Bottom 25% of cohort (national)
Discretionary AUM
$168.7M
Clients
2
2 accounts
Employees
9
Bottom 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Dec 11, 2018
- Principal office
- 1420 ROCKY RIDGE DRIVE, SUITE 250, ROSEVILLE, CA, 95661
- Phone
- 916-663-6723
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $168.7M
- Discretionary AUM
- $168.7M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 2
- Non-discretionary accounts
- 0
- Total accounts
- 2
- AUM per client
- $84.3M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 2 | $168.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — INTRODUCING PROGRAM FEE
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Selection of other advisers
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| May 1, 2026 | Employees | 14 | 9 | decreased by5 |
| May 1, 2026 | AUM | $166,163,114 | $168,684,412 | increased by$2,521,298 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 15 | 14 | decreased by1 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $166,418,395 | $166,163,114 | decreased by$255,281 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 4 | 15 | increased by11 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 349 | 2 | decreased by347 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $184,410,000 | $166,418,395 | decreased by$17,991,605 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 347 | 2 | decreased by345 |
| Apr 1, 2022 | Clients | 366 | 349 | decreased by17 |
| Apr 1, 2022 | AUM | $128,000,000 | $184,410,000 | increased by$56,410,000 |
| Apr 1, 2022 | Accounts | 366 | 347 | decreased by19 |
| May 1, 2021 | Custody | No | Yes | |
| May 1, 2021 | Clients | 364 | 366 | increased by2 |
| May 1, 2021 | Accounts | 364 | 366 | increased by2 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “STAINES FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“STAINES FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.