Federal Data Hub › SEC Form ADV · JSON · SEC IAPD ↗

STEPHENSON AND COMPANY, INC.

dba STEPHENSON AND COMPANY, INC. · CRD 111453 · Registered Investment Adviser

STEPHENSON AND COMPANY, INC. is a Registered Investment Adviser headquartered in SAN CLEMENTE, CA. The firm reports $446,981,303 in regulatory assets under management across 656 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$353,412,228
Non-discretionary$93,569,075
Total RAUM$446,981,303
Accounts656

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 111453. adviserinfo.sec.gov/firm/summary/111453.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

License: CC0 1.0 Universal. Corrections: corrections @ ai-analytics.org.