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STEPHENS
Legal name: STEPHENS INC.
CRD 3496File 801-15510
APPROVED
Retail clients
Disclosure events
Filing as of Aug 11, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$18.04B
Top 10% of cohort (national)
Discretionary AUM
$13.83B
Non-discretionary $4.22B
Clients
21,653
21,991 accounts
Employees
611
Top 10% of cohort in AR
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Sep 19, 1980
- Principal office
- 111 CENTER ST, LITTLE ROCK, AR, 72201
- Phone
- 501-377-2000
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $18.04B
- Discretionary AUM
- $13.83B
- Non-discretionary AUM
- $4.22B
- Discretionary accounts
- 12,927
- Non-discretionary accounts
- 9,064
- Total accounts
- 21,991
- AUM per client
- $833K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 188 | $620.7M |
| Insurance companies | 15 | $123.1M |
| Charitable organizations | 21 | $17.6M |
| High net worth individuals | 3,088 | $10.11B |
| Banking or thrift institutions | Fewer than 5 | $29.1M |
| Pension and profit sharing plans | 249 | $226.5M |
| State or municipal government entities | 11 | $361.9M |
| Individuals (other than high net worth individuals) | 18,080 | $4.13B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Commissions
- Hourly charges
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11E2
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 17, 2026 | Clients | 21991 | 21653 |
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.