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RIA / WealthAdvisorCertified Financial Planner33 years in industry

Todd Stephens

Advisor at HIGHTOWER ADVISORS, LLC

CHICAGO, IL | HOUSTON, TX

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Search this name across graphsid dfx:ria:4282ebfa-7e13-0b63-55e0-b21a20cd03b9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 15, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HIGHTOWER ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 14, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Jul 14, 1993
First registration: Jul 15, 2002
Dual registered: no
Other names: TODD LEROY STEPHENS
IAPD individual key: 2346884

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Oct 8, 2020	n/a	yes	HOUSTON, TX\|CHICAGO, IL	Current employment
FRONTIER INVESTMENT MANAGEMENT CO	Former SEC adviser	Feb 14, 2011	Nov 16, 2020	no	DALLAS, TX\|HOUSTON, TX	Previous registration
KING INVESTMENT ADVISORS, INC.	Former SEC adviser	Aug 4, 2008	Dec 1, 2010	no	HOUSTON, TX	Previous registration
LIGHTHOUSE CAPITAL MANAGEMENT	n/a	May 23, 2006	Aug 15, 2008	no	HOUSTON, TX	Previous registration
FRUTH INVESTMENT MANAGEMENT	Independent wealth	Jul 15, 2002	May 24, 2006	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FRONTIER INVESTMENT MANAGEMENT CO	HIGHTOWER ADVISORS, LLC	Nov 16, 2020	Oct 8, 2020	-39	Bulk transfer	RIA to ibd
KING INVESTMENT ADVISORS, INC.	FRONTIER INVESTMENT MANAGEMENT CO	Dec 1, 2010	Feb 14, 2011	75	Firm change	Other
LIGHTHOUSE CAPITAL MANAGEMENT	KING INVESTMENT ADVISORS, INC.	Aug 15, 2008	Aug 4, 2008	-11	Firm change	Other
FRUTH INVESTMENT MANAGEMENT	LIGHTHOUSE CAPITAL MANAGEMENT	May 24, 2006	May 23, 2006	-1	Firm change	Other

Relationships

Registered with (5)

→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: current employment
Oct 8, 2020 to presentfactForm ADV
→ FRONTIER INVESTMENT MANAGEMENT CORegistered adviserregistration: previous registration
Feb 14, 2011 to Nov 16, 2020factForm ADV
→ KING INVESTMENT ADVISORS, INC.Registered adviserregistration: previous registration
Aug 4, 2008 to Dec 1, 2010factForm ADV
→ LIGHTHOUSE CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
May 23, 2006 to Aug 15, 2008factForm ADV
→ FRUTH INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Jul 15, 2002 to May 24, 2006factForm ADV

Dated events

No dated event names this entity yet.