STEPHENS

Broker-DealerFINRA MemberEst. 1980
Total AUM
$18B
Discretionary
$13.8B
77% of AUM
Accounts
21,991
Employees
611
Advisory reps
600
Brokerage reps
611

Firm details

Headquarters
LITTLE ROCK, Arkansas
CRD number
3496
Registered since
September 19, 1980
Website
www.stephens.com
Custodians
PERSHING LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees, Commissions, Performance Based Fees
Client types
  • HNWI56.03%
  • Individuals22.86%
  • Other13.46%
  • Corporations / Businesses3.44%
  • State / Municipal Government2.01%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Stephens operates as a multi-capability securities firm that combines broker-dealer activity with advisory services and registered municipal advisory work. The firm serves both individual and family clients as well as institutional investors, offering portfolio management, financial planning, pension consulting and selection-of-advisers services alongside client-facing publishing and educational programs. Its business model includes commission-based brokerage and fee arrangements (percentage of AUM, hourly, fixed fees and performance fees), and the firm is organized as a corporation with roots going back to its SEC registration in 1980. Stephens is not identified as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 59%, Public Funds/Mutual Funds 19%, US Government Bonds 7%, State & Local Bonds 4%, Cash & Cash Equivalents 4%, Other 3%, Non-Exchange Traded Equities 1%, Investment Grade Corp Bonds 1%, Non-Investment Grade Corp Bonds 1%, Private Funds 1%59%
  • Exchange Traded Equities59%
  • Public Funds/Mutual Funds19%
  • US Government Bonds7%
  • State & Local Bonds4%
  • Cash & Cash Equivalents4%

Owners & executives

3 of 4

  • LOUIS WILSON

    COO – Equity Capital MarketsCRD 1243846

  • WARREN MILES STEPHENS

    Co-CEOCRD 5399161

  • MARK DORAMUS

    Chief Financial OfficerCRD 1888235

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Contacts

3 of 596

  • MICHELE ROOK

    Vice PresidentCRD 3104110

  • ROBERT MARA

    Managing DirectorCRD 4149726

  • EDWARD ROSINUS

    Managing DirectorCRD 5415929

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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ETF holdings

1 of 589

Active vs passive

$4.1B in ETFs

Passive

77%

$3.1B

Active

19%

$934M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD TOTAL STOCK MARKET INDEX FUND (VTI)VanguardPassiveLarge Blend$211M657,1845.17%
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Location

Primary office

LITTLE ROCK, AR

PULASKI

Location

LITTLE ROCK, AR

Headquartered in LITTLE ROCK, AR, anchoring the Little Rock-North Little Rock, AR metro in the South.

Metro area
Little Rock-North Little Rock, AR
Region
South
County
PULASKI
Address
111 Center St
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth