Stock Management Llc
- Regulatory AUM
- $142M
- Discretionary
- $142M
- Clients
- 446
- Avg AUM / client
- $318K
- Accounts
- 446
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 362 | $51.2M | 36.1% |
| High net worth individuals | 77 | $87.5M | 61.7% |
| Banking or thrift institutions | Fewer than 5 clients | — | — |
| Pension and profit sharing plans | Fewer than 5 clients | — | — |
| Charitable organizations | 7 | $3.0M | 2.12% |
| State or municipal government entities | Fewer than 5 clients | — | — |
| Other investment advisers | Fewer than 5 clients | — | — |
| Insurance companies | Fewer than 5 clients | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | — | — |
| Corporations and other businesses | Fewer than 5 clients | — | — |
| Other | Fewer than 5 clients | — | — |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Benny Joe Heeb | President Vice Chief Compliance Officer, Owner, Managing Member | Apr 1984 (42y) | 50% – 75% | |
| Susan Michelle Williams | Vice President, Co Owner, Managing Member | Dec 2001 (25y) | 25% – 50% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/19/2026 | 1.08 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: SUSAN M WILLIAMS VIOLATED WAC-460-24A-220(26) BY ACCESSING A CLIENT'S ACCOUNT USING THAT CLIENT'S OWN UNIQUE IDENTIFYING INFORMATION. NO CLIENT COMPLAINTS AND NO EVIDENCE OF CLIENT LOSS. THE PASSWORDS WERE USED WITH CLIENT AUTHORIZATION. HOWEVER, THIS PRACTICE IS UNLAWFUL AND DEEMED AS DISHONEST OR UNETHICAL PRACTICE. Status: Final Sanction Detail: 30-DAY SUSPENSION FROM ACTING AS AN INVESTMENT ADVISER REPRESENTATIVE BEGINNING 1/14/2022 WAS COMPLETED 02/13/2022 Summary: NO CLIENT COMPLAINTS AND NO EVIDENCE OF CLIENT LOSS. THE PASSWORDS WERE USED WITH CLIENT AUTHORIZATION. HOWEVER, THIS PRACTICE IS UNLAWFUL AND DEEMED AS DISHONEST OR UNETHICAL PRACTICE AND IN VIOLATION OF WASHINGTON WAC-460-24A-220(26)
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Fidelity Brokerage Services $76.1M (54% of AUM) Mar 2026
- Charles Schwab & Co. $65.7M (46% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 19, 2026.
View current Form ADV (SEC/IAPD) ↗