StoneX Group amends 13F, restates holdings

StoneX Group Inc. amended its Form 13F to restate quarterly filings after discovering under-reporting of securities, shares and market values.

Accepted by SEC EDGAR 08/13/2025 - 12:16 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

StoneX Group Inc. amended its Form 13F to restate quarterly filings after discovering under-reporting of securities, shares and market values.

The amendment identifies 254 reported holdings with a combined reported market value of $743,338,613 and lists 2 other included managers. The firm cites four root causes for the errors: missing market making accounts, an Excel "XLOOKUP" vs "SUMIF" formula error, failure to implement the SEC rounding rule, and Excel scientific-notation misconversion impacting CUSIPs.

Insights

Compliance & Reporting Specialist

Amendment documents restatement causes and scope; corrective controls are central.

The filing restates prior 13F reports and quantifies the corrected table: 254 entries totaling $743,338,613. It attributes under-reporting to four specific operational errors, including excluded market-making accounts and spreadsheet logic issues.

Remediation depends on implementing reconciliation and spreadsheet controls, plus adherence to the SEC rounding requirement verbatim. Subsequent filings should show corrected holdings; timing and specific corrective steps are not detailed in the excerpt.

FAQ

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

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

StoneX Group amended its Form 13F to restate prior quarterly reports due to reporting errors. The amendment corrects holdings that were under-reported across multiple quarters, specifies four causes of error, and updates the Form 13F holdings table entries and values.

How large are the corrected 13F holdings for StoneX Group?

The amended filing reports 254 holdings with a combined market value of $743,338,613. This figure appears on the Form 13F summary page as the corrected Information Table value total.

Which specific causes led StoneX's under-reporting?

StoneX cites four causes: excluded market-making accounts, use of XLOOKUP instead of SUMIF, failure to apply the SEC rounding rule, and Excel converting CUSIPs with an "E" into scientific notation. These issues affected filings from Q4 2021 through Q1 2025.

Did the amendment affect multiple StoneX reporting entities?

Yes. The restatement involved all Other Reporting Managers: StoneX Advisors Inc., StoneX Financial Inc., and Trust Advisory Group, Ltd. The summary page lists 2 other included managers by name and file number.

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: 09-30-2023

Check here if Amendment	X	Amendment Number:	1
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:		254
	Form 13F Information Table Value Total:		743,338,613
			(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