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
Stephens Group Asset Management, LLC
Latest filing Mar 27, 2026
First filing on the tape Aug 25, 2017 · 33 filings
SEC status approved since Sep 26, 2017
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$1.3B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$568M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.7B as of Mar 27, 2026
Mar 13, 2018$443M then
HNW client RAUM$1.3B as of Mar 27, 2026
Mar 13, 2018$208M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 13, 20181 then
Employees (5.A)4 as of Mar 27, 2026
Mar 13, 20183 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $568MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.3MderivedHNW RAUM over HNW clients
- Average account
- $3.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $241M, 107 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B74%
- Corporations and businesses$340M20%
- Individuals$52.0M3.1%
- Pension and profit-sharing plans$42.9M2.5%
- Charitable organizations$8.6M0.5%
- Individual clients
- 89reported
- HNW clients
- 111reported
- Pension plan clients
- 7reported
- Charitable clients
- 7reported
- Accounts
- 446reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $241M for 107 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Alan Bradley Tedford | Little Rock, Ar | Oct 6, 2017 | 28 y | 1 |
| Clayton Blakely James | Stilwelll, Ok | Aug 20, 2019 | 27 y | 0 |
| Sawyer Whitworth Dunigan | Little Rock, Ar | Jun 1, 2026 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Alan Bradley Tedford from StephensOct 6, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Stephens Elizabeth Campbell · Trustee Of Elizabeth S. Campbell Revocable Trustcontrolsince 08/1992 · owns 25% to 50%
- Jo Angela Martin · Chief Compliance Officercontrolsince 10/2018 · owns less than 5%
- Robert Wilton Stephens · Trustee Of W.R. Stephens, Jr. Revocable Trustcontrolsince 02/1993 · owns 25% to 50%
- Bradley Alan Tedford · Chief Executive Officer And Trustee Of Mtk Irrevocable Trustcontrolsince 10/2017 · owns 25% to 50%
- Lee William Tedford · Chairmancontrolsince 10/2017 · owns less than 5%
Entity owners
- Elizabeth S. Campbell · Memberdirect · owns 25% to 50%
- Elizabeth S. Campbell Revocable Trust · Memberdirect · owns 25% to 50%
- Mtk Irrevocable Trust · Memberdirect · owns 25% to 50%
- W.R. Stephens, Jr. Revocable · Memberdirect · owns 25% to 50%
- W.R. Stephens, Jr. Revocable Trust · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Little Rock, Ar · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 412 to 446Sep 11, 2025 to Mar 27, 2026
- Corporate clients · 9 to 11Sep 11, 2025 to Mar 27, 2026
- HNW clients · 106 to 111Sep 11, 2025 to Mar 27, 2026
- Individual clients · 80 to 89Sep 11, 2025 to Mar 27, 2026
- Assets in custody · $231M to $241MSep 11, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.4B to $1.7BSep 11, 2025 to Mar 27, 2026
- HNW RAUM · $1.0B to $1.3BSep 11, 2025 to Mar 27, 2026
- Individual RAUM · $39.0M to $52.0MSep 11, 2025 to Mar 27, 2026
- Pension RAUM · $40.3M to $42.9MSep 11, 2025 to Mar 27, 2026
- RAUM · $1.4B to $1.7BSep 11, 2025 to Mar 27, 2026
- Assets in custody · $260M to $231MMay 7, 2025 to Sep 11, 2025
- Financial planning clients · 1-10 to 1-10Mar 31, 2025 to May 7, 2025
- Accounts · 371 to 412Sep 4, 2024 to Mar 31, 2025
- Advisory activities · 2 to 3Sep 4, 2024 to Mar 31, 2025
- Corporate clients · 8 to 9Sep 4, 2024 to Mar 31, 2025
- HNW clients · 102 to 106Sep 4, 2024 to Mar 31, 2025
- Individual clients · 70 to 80Sep 4, 2024 to Mar 31, 2025
- Assets in custody · $140M to $260MSep 4, 2024 to Mar 31, 2025
- Financial planning clients · unset to 1-10Sep 4, 2024 to Mar 31, 2025
- State-registered IARs · 3 to 2Sep 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.1B to $1.4BSep 4, 2024 to Mar 31, 2025
- HNW RAUM · $821M to $1.0BSep 4, 2024 to Mar 31, 2025
- Individual RAUM · $28.1M to $39.0MSep 4, 2024 to Mar 31, 2025
- Pension RAUM · $38.1M to $40.3MSep 4, 2024 to Mar 31, 2025
- RAUM · $1.1B to $1.4BSep 4, 2024 to Mar 31, 2025
- Other offices · 0 to 1Mar 28, 2024 to Aug 7, 2024
- Accounts · 356 to 371Sep 28, 2023 to Mar 28, 2024
- Corporate clients · 9 to 8Sep 28, 2023 to Mar 28, 2024
- HNW clients · 104 to 102Sep 28, 2023 to Mar 28, 2024
- Individual clients · 61 to 70Sep 28, 2023 to Mar 28, 2024
- Assets in custody · $158M to $140MSep 28, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 3Sep 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.0B to $1.1BSep 28, 2023 to Mar 28, 2024
- HNW RAUM · $717M to $821MSep 28, 2023 to Mar 28, 2024
- Individual RAUM · $24.1M to $28.1MSep 28, 2023 to Mar 28, 2024
- Pension RAUM · $31.4M to $38.1MSep 28, 2023 to Mar 28, 2024
- RAUM · $1.0B to $1.1BSep 28, 2023 to Mar 28, 2024
- Accounts · 342 to 356Mar 22, 2022 to Mar 16, 2023
- Advisory employees · 3 to 4Mar 22, 2022 to Mar 16, 2023
- Charity clients · 6 to 7Mar 22, 2022 to Mar 16, 2023
Signals
2 dated events
- Stephens Group Asset Management, Llc reported RAUM $966.6M, up 31% from $737.6M (2021-01-07 to 2021-03-03)Mar 3, 2021 · RAUM change · derived
- Sg-Ria, Llc filed its initial SEC registration (Form ADV)Aug 25, 2017 · First SEC registration · fact
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
- Business email
- info@sgassetmgt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 501-246-7500reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/stephens-group-asset-management-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SGASSETMGT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 501-246-7500reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- sgassetmgt.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- sgassetmgt.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $568Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026