Stephens

Overview

Stephens is a corporation that operates as an investment bank and broker-dealer and is also registered as a municipal advisor. The firm serves both individual and family clients as well as institutional investors. Its advisory services include financial planning, portfolio management for individuals and small businesses as well as for institutional clients, pension consulting and selection of other advisers; the firm also publishes periodicals and runs educational seminars. Compensation mixes percentage-of-AUM fees, hourly and fixed fees, commissions and performance-based fees. Stephens does not position itself as a capital allocator and is not identified as an active ESG investor. Stephens has been SEC-registered since 1980 and combines traditional broker-dealer activities with advisory and municipal-advisor roles. That dual role means clients can access brokerage execution and advice under one roof, and the firm is affiliated with insurance and other investment-adviser activities.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices