StoneX Group restates 13F holdings in Amendment No.2

StoneX Group Inc. filed an amended Form 13F (Amendment No. 2) restating quarterly holdings after discovering under-reporting from Q4 2021 through Q1 2025.

Accepted by SEC EDGAR 08/13/2025 - 12:49 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

StoneX Group Inc. filed an amended Form 13F (Amendment No. 2) restating quarterly holdings after discovering under-reporting from Q4 2021 through Q1 2025. The amendment reports 372 information table entries with a total value of $193,663,444 and lists 2 other included managers. The firm identified four discrete causes for the errors: missing market‑making accounts, an Excel XLOOKUP vs SUMIF formula issue, failure to adopt an SEC rounding rule, and Excel scientific notation conversion of CUSIPs. The filing is a corrective disclosure of past 13F reporting; timing and cash‑flow consequences are not stated in the provided excerpt.

Insights

Compliance Officer

Restatement corrects multi‑year reporting errors across multiple reporting managers.

The filing discloses an amended Form 13F (Amendment No. 2) that restates holdings covering Q4 2021 through Q1 2025, showing 372 reported holdings with aggregate value $193,663,444. The firm attributes errors to four operational causes explicitly listed in the filing.

Corrective steps or remediation timelines are not detailed in the excerpt; subsequent filings or disclosures may provide follow‑up on controls, reconciliations, or supervisory changes.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did StoneX (SNEX) amend in its Form 13F filing?

StoneX amended its Form 13F (Amendment No. 2) to restate holdings from Q4 2021 through Q1 2025. The amendment reports 372 entries totaling $193,663,444 and lists two other included managers.

What caused the under-reporting of holdings in StoneX's filings?

The filing lists four causes: missing market‑making accounts, an Excel XLOOKUP vs SUMIF formula error, failure to implement an SEC rounding rule, and Excel scientific notation conversion of CUSIPs. These causes are described in the amendment.

Which other managers are included with StoneX's 13F amendment?

The amendment lists two other included managers: StoneX Advisors Inc. (Form 13F File No. 028-17766) and StoneX Financial Inc. (Form 13F File No. 028-21283).

How large are the restated holdings reported by StoneX?

The restated Form 13F Information Table shows 372 entries with an aggregate value of $193,663,444, rounded to the nearest dollar as reported on the summary page.

Does the amendment explain remediation or control changes?

The amendment describes the error causes but does not specify remediation timelines or control changes in the provided excerpt. Further disclosures may detail corrective actions in subsequent filings.

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The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE

OMB APPROVAL

OMB Number:			3235-0006
Estimated average burden
hours per response:			23.8

Report for the Calendar Year or Quarter Ended: 03-31-2024

Check here if Amendment	X	Amendment Number:	2
This Amendment (Check only one.):		is a restatement.
	X	adds new holdings entries.

Institutional Investment Manager Filing this Report:
Name:	StoneX Group Inc.
Address:	230 Park Ave
	10th Floor
	New York, NY 10169
Form 13F File Number:	028-17573
CRD Number (if applicable):
SEC File Number (if applicable):

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager:
Name:		John Calvano
Title:		CCO, StoneX Advisors Inc. & Trust Advisory Group Ltd.
Phone:		2054143367
Signature, Place, and Date of Signing:
John Calvano			Birmingham, AL	08-13-2025
[Signature]			[City, State]	[Date]
During an internal review of StoneX Group Inc.'s Section 13(f) reporting practices we discovered the quarterly filings from Q4 2021 through Q1 2025 under-reported the total number of securities, shares and market values. The errors involved all Other Reporting Managers: StoneX Advisors Inc., StoneX Financial Inc., and Trust Advisory Group, Ltd. The review identified four main causes: 1. Missing Market Making Accounts; Between Q4 2021 and Q4 2024, three market making accounts were inadvertently excluded from the Firm's filings. 2. Formula Error in Excel; From Q1 2022 to Q4 2022, the Firm mistakenly used "XLOOKUP" functionality instead of "SUMIF" in Excel causing only the first instance of a CUSIP to be counted. 3. Failure to Implement Rule Change; SEC Rule 87 FR 38943 requiring all dollar values to be rounded to the nearest dollar, rather than to the nearest one thousand dollars, was not properly implemented from Q4 2022 to Q1 2025. 4. Excel Scientific Notation Error; Between Q4 2021 and Q1 2025, CUSIPs with an "E" were inadvertently converted into scientific notation in Excel. This led to the misidentification of certain reportable securities.

Report Type (Check only one.):
X	13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.)
	13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).)
	13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

Form 13F Summary Page
	Report Summary:
	Number of Other Included Managers:		2
	Form 13F Information Table Entry Total:		372
	Form 13F Information Table Value Total:		193,663,444
			(round to nearest dollar)

List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
[If there are no entries in this list, state "NONE" and omit the column headings and list entries.]
	No.	Name	Form 13F File No.	CRD No. (if applicable)	SEC File No. (if applicable)	CIK
	1	StoneX Advisors Inc.	028-17766			0001650393
	2	STONEX FINANCIAL INC.	028-21283			0001070092