Stephens
Little Rock, AR·SEC-registered · CRD #3496
Stephens is an SEC-registered investment advisory firm in Little Rock, AR managing $18B across 31k client accounts, with 247 advisory staff.
Regulatory snapshot
Verify on SEC.govRegulatory AUM
$18B
Client accounts
31k
Advisory staff
247
Fee model
Fee-based
How Stephens is paid
Compensation arrangements disclosed on Form ADV. A fee-based firm may earn both client fees and product commissions; ask which applies to you.
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Common questions about Stephens
How much does Stephens manage?
Per its most recent SEC Form ADV filing (06/25/2026), Stephens reports $18B in regulatory assets under management across roughly 31k client accounts.
How does Stephens charge?
Stephens is a fee-based firm. Its disclosed compensation arrangements are: % of assets, Hourly, Commissions, Performance-based. Exact fee schedules appear in the firm's Form ADV Part 2 brochure — confirm current fees directly with the firm.
Is Stephens a fiduciary?
Yes. Stephens is registered with the U.S. Securities and Exchange Commission (CRD #3496), and SEC-registered investment advisers owe a fiduciary duty to act in their clients' best interest. You can verify its registration and any disclosures on the SEC's public record.
Is Stephens taking new clients like me?
Availability and account minimums vary and aren't in the public filing. The fastest way to find out is the free 2-minute match — it checks Stephens and comparable advisors against your goals and assets, and only surfaces firms open to your situation.
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Profile compiled from Stephens's public SEC Form ADV filing (CRD #3496, filed 06/25/2026). AdvisoryReviews is an independent comparison and matching service and is not affiliated with, endorsed by, or a partner of Stephens. Listing does not imply any relationship. Figures are as reported to the SEC and may have changed; verify current details at adviserinfo.sec.gov. Are you with Stephens? Claim this profile.