← Tributary

STEPHENSON AND COMPANY, INC.

SAN CLEMENTE, CA · CRD 111453 · IAPD ↗ · stephensonfinancial.com · 949-727-4255

$447.0MRegulatory AUM
3Advisory reps
5Employees
9Clients
101-250Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
April 2026 — STEPHENSON AND COMPANY, INC. added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
April 2026 — STEPHENSON AND COMPANY, INC. reports 101-250 financial-planning clients, up from 51-100.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
66
April 2026 — STEPHENSON AND COMPANY, INC. reported RAUM up 43% ($311.8M -> $447.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
68
April 2026 — STEPHENSON AND COMPANY, INC. now reports custody of client assets ($93.3M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.