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Joseph Simpson

Stephens Investment Management Group, LLC
44 Years of Experience
Little Rock, AR
Broker
View SEC Summary
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Joseph Simpson is a registered investment advisor at Stephens Investment Management Group, LLC, based in Little Rock, AR, with 44 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management. Their firm serves 277 clients with $9.5B in assets under management.

Stephens Investment Management Group, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
11 advisors
Number of Clients
277 clients
Average Client Portfolio
$34.5M average
Assets Under Management
$9.5B

Fee Structure

Minimum Investment:$1M
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.25%

Maximum fee varies by strategy: Small Cap Growth and SMID Hybrid Growth are up to 1.25%; Mid Cap Growth, SMID Core Growth, Leaders and Innovators, and Artificial Intelligence and Automation are up to 1.00%; SMID Select Growth is up to 1.10%. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

111 Center Street, Little Rock, AR, 72201

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Joseph is a member of Tuf Nut Lofts LLC, dealing with loft apartments since 2001, and a limited partner in Arkansas Times, a weekly newspaper, since 1996. These activities are not investment-related and require minimal time.

Employment History
Current Registrations
Stephens Investment Management Group, LLC
September 2005 - Present · 21 yrs 1 mo
Stephens
September 2004 - Present · 22 yrs 1 mo
StephensBroker
July 1987 - Present · 39 yrs 3 mos
Previous Registrations
A. G. Edwards & Sons, INC.Broker
March 1982 - July 1987 · 5 yrs 4 mos
State Registrations39 states
ALARAZCACOCTDCFLGAIAILINKSKYLAMAMDMIMOMSNCNDNENHNJNVNYOHOKPASCSDTNTXVAWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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