# Stephenson and Company, Inc.

> Stephenson and Company, Inc. is an SEC-registered investment advisory firm in San Clemente, CA, registered since 2019, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 17, 2026.

- CRD: 111453
- Filed as: STEPHENSON AND COMPANY, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: San Clemente, CA
- Filing period: October 2026
- Form ADV filing dated: March 17, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/111453
- AdvisorCensus page: https://advisorcensus.com/firm/stephenson-and-company-inc-san-clemente-ca-111453

## Quick answers

**How is Stephenson and Company, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Stephenson and Company, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does Stephenson and Company, Inc. charge?**
Its Form ADV Part 2A brochure dated March 17, 2026 states: Hourly rate: $400 to $600 an hour (Hourly Consultations). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Stephenson and Company, Inc. located?**
Stephenson and Company, Inc.'s principal office is in San Clemente, CA, according to its Form ADV.

**Is Stephenson and Company, Inc. registered with the SEC or a state?**
Stephenson and Company, Inc. is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 111453.

**How much does Stephenson and Company, Inc. manage?**
Stephenson and Company, Inc. reports $446,981,303 in regulatory assets under management in its Form ADV filing dated March 17, 2026 (79% discretionary).

**How have Stephenson and Company, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Stephenson and Company, Inc.: Regulatory assets under management: $173,985,830 in the October 2021 data and $446,981,303 in the October 2026 data, up 157%. Total employees: 4 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Stephenson and Company, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (133); high net worth individuals (132).

**Which custodians does Stephenson and Company, Inc. use?**
Stephenson and Company, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and SEI Investments Distribution Co. as custodians holding 10% or more of its separately managed account assets.

**Does Stephenson and Company, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/111453

**What changed in Stephenson and Company, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 2 to 3. Regulatory assets under management went from $311,784,935 to $446,981,303 (+43%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 17, 2026)

- Hourly rate: $400 to $600 an hour (Hourly Consultations)

> This arrangement will be billed on an hourly basis at a rate of $400 - $600 per hour, which is negotiable depending on the scope and complexity of the plan, your situation, and your financial objectives.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- SEI Investments Distribution Co.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $446,981,303
- Discretionary: $353,412,228
- Non-discretionary: $93,569,075

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 133 | $41,692,932 |
| High net worth individuals | 132 | $402,087,029 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $1,092,612 |
| Charitable organizations | Fewer than 5 | $2,108,730 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2019 (7 years)
- Employees: 5 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- stephensonfinancial.com
- LinkedIn @stephenson-&-company

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $173,985,830 | 4 | April 6, 2021 |
| October 2022 | $227,767,519 | 5 | April 28, 2022 |
| October 2023 | $216,345,222 | 4 | September 8, 2023 |
| October 2024 | $266,373,224 | 4 | March 15, 2024 |
| October 2025 | $311,784,935 | 4 | March 3, 2025 |
| October 2026 | $446,981,303 | 5 | March 17, 2026 |

Regulatory assets under management: $173,985,830 in the October 2021 data and $446,981,303 in the October 2026 data, up 157%.
Total employees: 4 in October 2021 and 5 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 2 to 3.
- Regulatory assets under management went from $311,784,935 to $446,981,303 (+43%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Stephenson and Company, Inc. (CRD 111453): Form ADV filing data as of October 2026.