STEPHENS INC
14 known aliases resolved via the canonical alias map
Market position · 2024
Plans served36-4 YoYRank #467 of mapped providers
Assets under administration$2.4B0.0%Market share · rank #2887
Fees received$2MMedian $33,340/planSum across Schedule C direct + indirect
Net wins YoY-52 won · 7 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical STEPHENS INC plan look like?
Service mix · median fees per plan
Count of plans where STEPHENS INC ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Investment advisory (plan); Investment managementCode 27 | 25 | $31,542 | |
Insurance services; Consulting (general); Insurance brokerage commissions and feesCode 16 | 6 | $61,409 | |
Other services; Recordkeeping and information management (computing, tabulating, data processing, etc.); Trustee (bank, trust company, or similar financial institution); Recordkeeping fees; Other fees; Direct payment from the planCode 15 | 2 | $72,121 | |
Investment advisory (participants)Code 26 | 1 | $43,690 | |
Investment managementCode 28 | 1 | $330,642 | |
Other feesCode 99 | 1 | $64,630 |
Competitor overlap
Percent of STEPHENS INC's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under STEPHENS INC.
| Sponsor | From | Assets |
|---|---|---|
STERILE COMPOUNDING OF AMERICAAR · 900622763-001 | PAYCHEX, INC. | $17M |
Plans lost in 2024
Appeared last year under STEPHENS INC; not this year.
| Sponsor | To | Assets |
|---|---|---|
ARKANSAS CHILDREN'SAR · 810801296-002 | TRANSAMERICA RETIREMENT SOLUTIONS | $81M |
HOLDEN CONNER CONMAC, LLCAR · 710502347-001 | ASCENSUS LLC | $49M |
J.V. MANUFACTURING, INC.AR · 710510476-001 | NATIONWIDE | $15M |
GOODMAN MCGUFFEY LLPGA · 581889003-001 | (new plan) | $9M |
RICHSMITH DEVELOPMENT, LLCAR · 954894253-001 | (new plan) | $6M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
ARKANSAS CHILDREN'S, INCAR · 710236857-001 | $446M | 6,496 | $61,409 | 10y | - |
BILLERUD AMERICAS CORPORATIONOH · 753217389-001 | $360M | 1,319 | $93,192 | 9y | 1 |
BILLERUD AMERICAS CORPOH · 753217389-005 | $336M | 2,739 | $350,000 | 8y | - |
BILLERUD AMERICAS CORPORATIONOH · 753217389-006 | $315M | 1,630 | $72,916 | 8y | - |
SOUTHWEST POWER POOL, INC.AR · 710748158-001 | $160M | 1,139 | $330,642 | 10y | - |
THE NABHOLZ GROUP, INC.AR · 710833356-001 | $155M | 1,819 | $206,271 | 4y | 1 |
ARKANSAS CHILDREN'SAR · 810801296-002 | $99M | 4,464 | $17,000 | 6y | 1 |
MAVERICK USA, INCAR · 710532344-001 | $51M | 2,309 | $75,588 | 9y | 1 |
ARISA HEALTH, INCAR · 844286440-001 | $48M | 1,277 | $64,630 | 5y | - |
HUGG & HALL EQUIPMENT CO.AR · 710416379-003 | $46M | 859 | $46,344 | 4y | 1 |
Flag exposure
91.7%Market: 89.2%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (14)
Raw Schedule C names collapsed into STEPHENS INC.
- STEPHENS
- STEPHENS CAPITAL
- STEPHENS CAPITAL MANAGEMENT
- STEPHENS CAPITAL MANAGEMENT INC
- STEPHENS CAPITALMANAGEMENT
- STEPHENS GROUP ASSET
- STEPHENS GROUP ASSET MANAGEMENT
- STEPHENS GROUP ASSET MANAGEMENT LLC
- STEPHENS INC
- STEPHENS INC.
- STEPHENS INVESTMENT MGT GROUP
- STEPHENS INVESTMENTS
- STEPHENS, INC
- STEPHENS, INC.
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /retirement size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for STEPHENS INC's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 1 | 2.78% | 7.76% | -4.98 pp |
| Fidelity bond gap | 1 | 2.78% | 26.94% | -24.16 pp |
| Late contributions | 7 | 19.44% | 1.71% | +17.73 pp |
| Failed to provide benefit | 0 | 0.00% | 0.14% | -0.14 pp |
| Corrective distributions | 12 | 33.33% | 1.76% | +31.57 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with STEPHENS INC. Compare to the incumbent market share (0.1%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.1 pp vs incumbent
Geographic penetration index
(Provider plans in state / state plans) divided by the provider's overall share of the market. Index 1.00 = average; > 1 = over-indexed (winning more than their fair share); < 1 = under-indexed (white space).