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Frederick D. Rau

STOKES FAMILY OFFICE LLC
New Orleans, LA 70163
Some features on this profile are disabled
CRD#: 6711013
FR

Professional summary

Frederick Dupre Rau III, who also goes by Frederick Dupre Rau, is a registered financial advisor currently at STOKES FAMILY OFFICE LLC located in New Orleans, Louisiana.

Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Frederick has worked at 2 firms and has passed the Series 65, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Frederick Dupre Rau

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Dupre Rau III's CRS (Customer Relationship Summary).
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

August 23, 2025 - Present

STOKES FAMILY OFFICE LLC

Office #1: 1100 Poydras St Ste. 2775, New Orleans, LA 70163
RIA
CRD#: 300899
New Orleans, LA
Past

February 22, 2021 - August 20, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC

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".
SF
STOKES FAMILY OFFICE LLC
STOKES FAMILY OFFICE LLC | STOKES INVESTMENT PARTNERS, LLC | STOKES INSTITUTIONAL

CRD#: 300899 / SEC#: 801-115261

RIA
Registered Investment Advisory firm - (5/13/2019 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.

Highlighted states indicate IAR registrations

IAR
Louisiana
(8/27/2025)
IAR
Texas
(8/23/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/22/2025
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/20/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/12/2019
Securities Industry Essentials Examination

Current Firm

SF
STOKES FAMILY OFFICE LLC
STOKES FAMILY OFFICE LLC | STOKES INVESTMENT PARTNERS, LLC | STOKES INSTITUTIONAL

CRD#: 300899 / SEC#: 801-115261

RIA
Registered Investment Advisory firm - (5/13/2019 Approved)
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Contact information

Main Address
1100 Poydras St Ste. 2775, New Orleans, LA 70163
Mailing Address
Phone number
(504) 399-4100
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025-10-20 STOKES FAMILY OFFICE FORM ADV PART 2A (10/20/2025)

Regulatory assets under management

Total Number of Accounts2,052
AUM (Assets Under Management)$ 2,475,148,256

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.

Company Information

STOKES FAMILY OFFICE LLC

CRD#: 300899New Orleans, LA 70163

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