DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Stieven Capital Advisors, L.P.
Latest filing Mar 18, 2026
First filing on the tape Mar 28, 2012 · 17 filings
SEC status approved since Sep 7, 2005
RAUM
$563M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$563M as of Mar 18, 2026
Mar 28, 2012$135M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Mar 28, 20120 then
Employees (5.A)8 as of Mar 18, 2026
Mar 28, 20135 then
Private funds2 as of Mar 18, 2026
Mar 28, 20122 then
RAUM -0.2% over the last fiscal year-4.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $282MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$563M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Stieven Financial Investors, L.P. | Hedge Fund | $502M | 159 | Mar 28, 2012 |
| Stieven Financial Offshore Investors, Ltd. | Hedge Fund | $63.0M | 17 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Leon Stephen Covington · Managing Director, Portfolio Managercontrolsince 11/2005 · owns less than 5%
- Joseph Mark Ross · Chief Compliance Officer, Chief Administrative Officer, Managing Directorcontrolsince 07/2015 · owns less than 5%
- Albert Joseph Stieven · Chairman & Chief Executive Officercontrolsince 06/2005 · owns 75% or more
- Albert Joseph Stieven · Managing Membercontrolsince 06/2005 · owns 75% or more of Stieven Capital Advisors Gp, LLC
Entity owners
- Stieven Capital Advisors Gp, LLC · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- Stieven Capital Gp, LLCbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $565M to $563MMar 12, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $565M to $563MMar 12, 2025 to Mar 18, 2026
- RAUM · $565M to $563MMar 12, 2025 to Mar 18, 2026
- Financial planning clients · unset to Mar 19, 2024 to Mar 12, 2025
- Discretionary RAUM · $565M to $565MMar 19, 2024 to Mar 12, 2025
- Pooled vehicle RAUM · $565M to $565MMar 19, 2024 to Mar 12, 2025
- RAUM · $565M to $565MMar 19, 2024 to Mar 12, 2025
- Discretionary RAUM · $640M to $565MMar 22, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $640M to $565MMar 22, 2023 to Mar 19, 2024
- RAUM · $640M to $565MMar 22, 2023 to Mar 19, 2024
- Discretionary RAUM · $834M to $640MMar 11, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $834M to $640MMar 11, 2022 to Mar 22, 2023
- RAUM · $834M to $640MMar 11, 2022 to Mar 22, 2023
- Discretionary RAUM · $626M to $834MMar 12, 2021 to Mar 11, 2022
- Pooled vehicle RAUM · $626M to $834MMar 12, 2021 to Mar 11, 2022
- RAUM · $626M to $834MMar 12, 2021 to Mar 11, 2022
- Advisory employees · 8 to 7Mar 13, 2020 to Mar 12, 2021
- Employees · 10 to 8Mar 13, 2020 to Mar 12, 2021
- Discretionary RAUM · $675M to $626MMar 13, 2020 to Mar 12, 2021
- Pooled vehicle RAUM · $675M to $626MMar 13, 2020 to Mar 12, 2021
- RAUM · $675M to $626MMar 13, 2020 to Mar 12, 2021
- Advisory employees · 9 to 8Mar 19, 2019 to Mar 13, 2020
- Discretionary RAUM · $586M to $675MMar 19, 2019 to Mar 13, 2020
- Pooled vehicle RAUM · $586M to $675MMar 19, 2019 to Mar 13, 2020
- RAUM · $586M to $675MMar 19, 2019 to Mar 13, 2020
- Advisory employees · 8 to 9Mar 16, 2018 to Mar 19, 2019
- Employees · 8 to 10Mar 16, 2018 to Mar 19, 2019
- Discretionary RAUM · $637M to $586MMar 16, 2018 to Mar 19, 2019
- Pooled vehicle RAUM · $637M to $586MMar 16, 2018 to Mar 19, 2019
- RAUM · $637M to $586MMar 16, 2018 to Mar 19, 2019
- Advisory employees · 7 to 8Mar 27, 2017 to Mar 16, 2018
- Pooled vehicle clients · unset to 2.0Mar 27, 2017 to Mar 16, 2018
- Employees · 7 to 8Mar 27, 2017 to Mar 16, 2018
- Other offices · unset to 0.0Mar 27, 2017 to Mar 16, 2018
- Discretionary RAUM · $567M to $637MMar 27, 2017 to Mar 16, 2018
- Pooled vehicle RAUM · unset to 637405543.0Mar 27, 2017 to Mar 16, 2018
- RAUM · $567M to $637MMar 27, 2017 to Mar 16, 2018
- Assets in custody · 407853544.0 to unsetMar 21, 2016 to Mar 27, 2017
- Custody of client assets · true to falseMar 21, 2016 to Mar 27, 2017
- Discretionary RAUM · $408M to $567MMar 21, 2016 to Mar 27, 2017
Signals
2 dated events
- Stieven Capital Advisors, L.P. reported RAUM $833.5M, up 33% from $625.6M (2021-03-12 to 2022-03-11)Mar 11, 2022 · RAUM change · derived
- Mark Daniel Ellefson (Managing Director) no longer on Schedule A of Stieven Capital Advisors, L.P. (listed 2019-03-19, absent 2020-03-13)Mar 13, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 314-779-2420reportedpublic record, Form ADV, Mar 18, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026