Data / Investment advisers / Arkansas / Stephens
Stephens, Little Rock, AR: $18 billion AUM, SEC registered investment adviser
Stephens is an SEC registered investment adviser with its main office in Little Rock, Arkansas and reports $18 billion in regulatory assets under management in its Form ADV filed October 23, 2026. Its clients include high net worth individuals, individuals and corporations and other businesses. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 3496
- SEC file number
- 801-15510
- SEC status
- Approved, effective September 19, 1980
- Legal name
- Stephens Inc.
- Main office
- 111 Center St, Little Rock, AR 72201
- Phone
- (501) 377-2000
- Website
- itunes.apple.com
- Regulatory AUM
- $18,044,844,233 in the Form ADV filed October 23, 2026
- Discretionary AUM
- $13,826,378,185
- Non discretionary AUM
- $4,218,466,048
- Accounts
- 21,991
- Employees
- 611, of which 247 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, hourly charges, fixed fees, commissions, performance based fees
- Other offices
- 20
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions, other federal, state or foreign regulatory actions, self-regulatory organization actions
- Latest Form ADV filing
- October 23, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 3,088 | $10.11 billion |
| Individuals (other than high net worth individuals) | 18,080 | $4.13 billion |
| Corporations or other businesses | 188 | $620.7 million |
| State or municipal government entities | 11 | $361.9 million |
| Pension and profit sharing plans | 249 | $226.5 million |
| Insurance companies | 15 | $123.1 million |
| Banking or thrift institutions | 1 | $29.1 million |
| Charitable organizations | 21 | $17.6 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $18.04 billion | March 31, 2026 |
| December 1, 2025 | $16.44 billion | August 21, 2025 |
Other advisers in Little Rock
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Stephens Investment Management Group, LLC | Little Rock | $9.55 billion | Not listed | adviserinfo.sec.gov |
| Naviter Wealth, LLC | Little Rock | $1.87 billion | Not listed | adviserinfo.sec.gov |
| Stephens Group Asset Management, LLC | Little Rock | $1.70 billion | Not listed | adviserinfo.sec.gov |
| Legacy Capital Wealth Partners, LLC | Little Rock | $1.52 billion | Not listed | adviserinfo.sec.gov |
| Foundation Resource Management, Inc. | Little Rock | $1.14 billion | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Little Rock, AR
- Investment advisers in Arkansas
- Advisers with $10 billion to $100 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Stephens on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.