Stephens Investment Management Group, Llc
- Regulatory AUM
- $9.5B
- Discretionary
- $9.5B
- Clients
- 277
- Avg AUM / client
- $34.5M
- Accounts
- 277
- Employees
- 22
AUM over time
Annual snapshots from Form ADV filings · as of Jul 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 212 | $124M | 1.3% |
| Investment companies | 4 | $6.5B | 67.8% |
| Pooled investment vehicles (non-investment companies) | 2 | $565M | 5.92% |
| Pension and profit sharing plans | 9 | $2.0B | 21.2% |
| State or municipal government entities | 6 | $174M | 1.82% |
| Corporations and other businesses | 24 | $34.5M | 0.36% |
| Other | 20 | $161M | 1.69% |
People (14)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stephens, Warren, Amerine | Trustee & Beneficiary | Sep 1987 (39y) | GP / trustee / elected manager of Warren A. Stephens Trust U/D 9/30/1987 (indirect) | |
| Joseph Warren Simpson | President And Chief Executive Officer | Jul 2005 (21y) | Less than 5% | |
| Ryan Edward Crane | Chief Investment Officer | CFA | Jul 2005 (21y) | Less than 5% |
| Nolte, Michael, William | Chief Operating Officer, Senior Vice President | Sep 2006 (20y) | Less than 5% | |
| Rhodes, Allison | Chief Compliance Officer, General Counsel | Sep 2024 (2y) | Less than 5% | |
| John Michael Thornton | Registered representative | CFA | Sep 2005 (21y) | |
| Patricia Kellaway Ranucci | Registered representative | CFA | Sep 2005 (21y) | |
| Samuel Moore Chase | Registered representative | CFA | Sep 2005 (21y) | |
| Frank Patrick White | Registered representative | Oct 2005 (21y) | ||
| John Robert Keller | Registered representative | CFA | Mar 2014 (12y) | |
| Marc Shiels Little | Registered representative | Aug 2016 (10y) | ||
| Charles Clavel | Registered representative | CFA | Mar 2019 (7y) | |
| Kimberly Anne Tucker | Registered representative | Jun 2023 (3y) | ||
| Anil Thomas | Registered representative | Aug 2024 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Stephens Investments Holdings Llc | Member | Oct 2006 | A | 75% or more |
| Warren A. Stephens Trust U/D 9/30/1987 | Member | Jun 2006 | B | ≈ 56.25% – 100% via Stephens Investments Holdings Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Warren A. Stephens Trust U/D 9/30/1987: 75% – 100% of Stephens Investments Holdings Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
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) | 07/16/2026 | 1.17 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- BNY Mellon $1.4B (15% of AUM) Jul 2026
- State Street $591M (6% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Jul 16, 2026.
View current Form ADV (SEC/IAPD) ↗