StoneX amends 13F, restating holdings after data errors

StoneX Group Inc. filed an amended Form 13F restating prior quarterly 13F holdings after an internal review found under‑reported securities, shares and market values.

Accepted by SEC EDGAR 08/13/2025 - 11:04 AM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

StoneX Group Inc. filed an amended Form 13F restating prior quarterly 13F holdings after an internal review found under‑reported securities, shares and market values.

The amendment (Amendment Number 2) cites four causes spanning Q4 2021 through Q1 2025, and the Form 13F Information Table shows 74 entries with a value total of $186,386,475.

Insights

Compliance Officer

Restatement driven by data and process errors across multiple quarters.

The filing explicitly lists four implementation errors: missing market making accounts, an Excel XLOOKUP vs SUMIF misapplication, rounding rule non‑compliance, and Excel scientific notation issues covering Q4 2021 through Q1 2025.

These disclosures suggest control weaknesses in securities reporting processes; subsequent periodic filings may show corrected totals and reconciliations once remediations are applied.

Data Controls Analyst

Errors are technical and spreadsheet‑tooling related, not described as deliberate.

The filing names specific failure modes (missing accounts; formula choice; rounding implementation; scientific notation) and quantifies the 13F Information Table as 74 entries totaling $186,386,475.

Remediation should include reconciliation to custody and automated validation; timing and remediation specifics are not detailed in the excerpt.

FAQ

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

What did StoneX (SNEX) disclose in this 13F amendment?

The amendment (Amendment Number 2) restates prior 13F filings due to reporting errors. It lists four error causes affecting filings from Q4 2021 through Q1 2025, and shows 74 reported holdings totaling $186,386,475.

Which quarters were affected by StoneX's reporting errors?

The filing states affected periods span from Q4 2021 through Q1 2025. The disclosure ties specific error windows to subsets of that range, such as formula errors in Q1 2022 to Q4 2022.

What specific causes did StoneX identify for the under-reporting?

StoneX identified four causes: omitted market making accounts; use of XLOOKUP instead of SUMIF; failure to apply SEC rounding rule change; and Excel converting CUSIPs with an 'E' into scientific notation, causing misidentification.

How large are the holdings reported in the amended Form 13F?

The Form 13F Information Table in the amendment lists 74 information table entries with a value total of $186,386,475, rounded to the nearest dollar as shown on the summary page.

Did StoneX name which internal entities were involved?

Yes; the filing states errors involved other reporting managers: StoneX Advisors Inc., StoneX Financial Inc., and Trust Advisory Group, Ltd., and lists two other included managers with their Form 13F file numbers.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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:	2
This Amendment (Check only one.):	X	is a restatement.
		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:		74
	Form 13F Information Table Value Total:		186,386,475
			(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