Michael Stone

SUNSTONE ADVISORS

Irvine, CA 92612

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CRD#: 5079106

Professional summary

Michael Stone, who also goes by Mike Stone, is a registered financial advisor currently at SUNSTONE ADVISORS, LLC located in Irvine, California and FORESIDE FUND SERVICES, LLC located in Irvine, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Stone

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) SunStone Advisors, LLC; Investment Related; Irvine, CA; Registered Investment Advisor; Chief Investment Officer; Start Date 9/28/2022; 200 Hrs Per Month; Chair the investment committee and the investment valuation committee. 2) Uniform Statutory Form Power of Attorney; Non-Investment Related; Newport Beach, CA; Power of Attorney for my wife; Start Date 3/22/2002; 0 Hrs Per Month. 3) Sunstone Cities LLC; Non-Investment Related; Irvine, CA; Entity to advise on public private partnerships; CFO; Start Date 8/7/2024; 5 Hrs Per Month, 0 During Trading Hrs. 4) Sunstone Management Inc.; Non-Investment Related; Irvine, CA; Affiliated with Sunstone Advisors; CFO; Start Date 3/16/2022; 5 Hrs Per Month; I advise CEO on strategy. 5) Sunstone Venture Partners LLC; Investment Related; Irvine, CA; General Partner; Member; Start Date 7/21/2023; 5 Hrs per Month, 0 During Trading Hrs; General Partner, Investments Committee.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stone's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 23, 2023 - Present

SUNSTONE ADVISORS, LLC

Office #1: 18881 Von Karman Avenue Floor 5, Suite 500, Irvine, CA 92612

RIA

CRD#: 324002

Irvine, CA

Current

February 12, 2025 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 18881 Von Karman Ave Suite 500, Irvine, CA 92612

CRD#: 46106

Irvine, CA

Past

January 22, 2020 - March 17, 2022

MORGAN STANLEY

RIA

CRD#: 149777

Greenwood Village, CO

Past

January 22, 2020 - March 17, 2022

MORGAN STANLEY

CRD#: 149777

Greenwood Village, CO

Past

January 23, 2006 - February 10, 2020

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

Denver, CO

Past

January 23, 2006 - February 10, 2020

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SUNSTONE ADVISORS, LLC

CRD#: 324002 / SEC#: 801-127225

RIA

Registered Investment Advisory firm - (1/20/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(1/23/2023)

California
(5/29/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/28/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/5/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/2006

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 12/29/2005

Futures Managed Funds Examination

SRO Registrations

FINRA

Current Firm

SUNSTONE ADVISORS, LLC

CRD#: 324002 / SEC#: 801-127225

RIA

Registered Investment Advisory firm - (1/20/2023 Approved)

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Contact information

Main Address

18881 Von Karman Avenue Floor 5, Suite 500, Irvine, CA 92612

Mailing Address

Phone number

(949) 771-1764

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SUNSTONE ADVISORS 2025 ANNUAL AMENDMENT PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 95,561,196

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael Stone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stone's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

SUNSTONE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/28/2025

Series 66

Date: 1/5/2006

SIE

Date: 10/1/2018

Series 7

Date: 1/20/2006

Series 31

Date: 12/29/2005

FINRA

Current Firm

SUNSTONE ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUNSTONE ADVISORS, LLC

TRUST BUT VERIFY

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