# Stock Management LLC

> Stock Management LLC is an SEC-registered investment advisory firm in Puyallup, WA, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 19, 2026.

- CRD: 113902
- Filed as: STOCK MANAGEMENT LLC
- Also doing business as: BEN HEEB & ASSOCIATES
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Puyallup, WA
- Filing period: October 2026
- Form ADV filing dated: March 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/113902
- AdvisorCensus page: https://advisorcensus.com/firm/stock-management-llc-puyallup-wa-113902

## Quick answers

**How is Stock Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Stock Management LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Stock Management LLC located?**
Stock Management LLC's principal office is in Puyallup, WA, according to its Form ADV.

**Is Stock Management LLC registered with the SEC or a state?**
Stock Management LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 113902.

**How much does Stock Management LLC manage?**
Stock Management LLC reports $141,780,647 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary).

**How have Stock Management LLC's assets and staff changed since 2025?**
In the Form ADV data for Stock Management LLC: Regulatory assets under management: $127,953,286 in the October 2025 data and $141,780,647 in the October 2026 data, up 11%. Total employees: 2 in October 2025 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Stock Management LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (362); high net worth individuals (77); charitable organizations (7).

**Which custodians does Stock Management LLC use?**
Stock Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets.

**Does Stock Management LLC report any disciplinary disclosures?**
Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), 11.D(4) (another regulator's order in the past ten years), and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/113902

**What changed in Stock Management LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $127,953,286 to $141,780,647 (+11%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Fidelity Brokerage Services LLC

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: $141,780,647
- Discretionary: $141,780,647
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 362 | $51,244,312 |
| High net worth individuals | 77 | $87,529,537 |
| Banking or thrift institutions | Fewer than 5 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | Not reported |
| Charitable organizations | 7 | $3,006,798 |
| State or municipal government entities (including government pension plans) | Fewer than 5 | Not reported |
| Other investment advisers | Fewer than 5 | Not reported |
| Insurance companies | Fewer than 5 | Not reported |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | Not reported |
| Corporations or other businesses not listed above | Fewer than 5 | Not reported |
| Other | Fewer than 5 | Not reported |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2025 (1 year)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, FL, OR, TX, VA, WA
- Disclosures (Item 11): Reports 5 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(3): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/113902

### Websites listed on Form ADV (Item 1.I)
- benheeb.com
- stockmanagementllc.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $127,953,286 | 2 | March 24, 2025 |
| October 2026 | $141,780,647 | 2 | March 19, 2026 |

Regulatory assets under management: $127,953,286 in the October 2025 data and $141,780,647 in the October 2026 data, up 11%.
Total employees: 2 in October 2025 and 2 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $127,953,286 to $141,780,647 (+11%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Stock Management LLC (CRD 113902): Form ADV filing data as of October 2026.