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StoneX Group (SNEX) amends 13F, restates Q4 2021–Q1 2025 holdings

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
13F-HR/A

Rhea-AI Filing Summary

StoneX Group Inc. filed an amendment to its Form 13F that restates prior quarterly reports after identifying under-reporting across Q4 2021 through Q1 2025. The amendment (Amendment No. 4) reports 547 information-table entries with an aggregate value of $1,057,847,016 and lists 2 other included managers.

The filing attributes the discrepancies to four causes: missing market-making accounts, an Excel XLOOKUP vs SUMIF formula error, failure to implement SEC rounding rule change, and Excel scientific-notation conversion of certain CUSIPs. The report is signed by John Calvano on 08-13-2025.

Positive

  • None.

Negative

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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: 03-31-2022
Check here if Amendment X Amendment Number: 4
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: 547
Form 13F Information Table Value Total: 1,057,847,016
(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

FAQ

Why did StoneX (SNEX) amend its Form 13F?

StoneX amended its Form 13F to correct under-reporting discovered during an internal review. The review found missing market-making accounts, Excel formula errors, rounding-rule implementation failures, and scientific-notation CUSIP conversions affecting Q4 2021–Q1 2025 filings.

What periods and filings are restated in StoneX's 13F amendment?

The amendment restates quarterly Form 13F filings covering Q4 2021 through Q1 2025. The reporting manager indicates the errors spanned those quarters and involved all Other Reporting Managers named in the filing.

How large are the corrected holdings reported in the amendment?

The Form 13F Information Table shows 547 entries with a total value of $1,057,847,016, rounded to the nearest dollar per the summary page in the amendment filed by StoneX Group Inc.

Which StoneX entities were affected by the reporting errors?

The filing states the errors involved all Other Reporting Managers: StoneX Advisors Inc., StoneX Financial Inc., and Trust Advisory Group, Ltd., whose holdings were part of the restatement process.

Who signed the amended 13F and when was it signed?

The amendment was signed by John Calvano, CCO of StoneX Advisors Inc. & Trust Advisory Group Ltd., with a signature date of 08-13-2025, as shown on the filing cover page.