Stephens Investment Management Group, LLC

Overview

Stephens Investment Management Group, LLC (SIMG) is a registered investment advisor specializing in small and mid-cap growth equity investments. Established in 2005, SIMG is a wholly owned subsidiary of Stephens Investments Holdings LLC, a privately held company owned by the Warren A. Stephens Trust, which is controlled by Warren A. Stephens. The firm operates from two geographic locations—Houston, Texas, and Little Rock, Arkansas. Investment management, trading, marketing, client service, and certain compliance and operations functions are located in Houston, Texas, while operations, administration, compliance, legal functions, and additional client service functions are located in Little Rock, Arkansas. As of December 31, 2022, total assets managed and advised by SIMG were approximately $5.82 billion, with approximately $5.66 billion managed on a discretionary basis and approximately $154 million advised on a non-discretionary basis. SIMG provides investment advisory services to institutions, high net worth and other individuals, pension plans, foundations, corporations, and other business entities, mutual funds, and other types of clients. The firm's investment focus is on U.S. equity securities, although fixed income securities, mutual funds, exchange-traded securities, ADRs, and other types of securities could be purchased for client accounts from time to time. SIMG manages client assets under six distinct investment management strategies. The firm is a long-only manager and does not generally use margin. The investment team initially joined Stephens Inc. in September 2004 and provided investment advice through Stephens Inc. through the end of November 2005. Advisory services began to be offered through SIMG in December 2005. The firm's investment philosophy is based on the belief that earnings growth drives stock performance. SIMG believes that the inefficiencies in the small and mid-cap markets create opportunities for active managers to outperform over a given market cycle. The firm utilizes a team approach to investment decisions, blending research, experience, and precise execution. SIMG specializes in small- and mid-cap growth investing, using a disciplined process to identify and capitalize on transformative change. The firm partners with institutions and consultants to provide access to a stable, high-conviction team focused on capturing mispriced change for long-term capital appreciation. SIMG believes market inefficiencies in the small- and mid-cap space offer active managers a durable opportunity to outperform across market cycles. The firm's investment process focuses on identifying transformative catalysts and durable growth companies, combining behavioral finance insights with disciplined, team-based decision-making. Backed by the entrepreneurial legacy of the Stephens family, SIMG delivers high-conviction portfolios designed to capture long-term structural shifts and compound capital through market cycles. The firm's investment team takes a collaborative, team-based approach to small and mid-cap growth investing—driven by rigorous research, clear catalysts, and consistent execution you can trust. The firm's parent organization, Stephens Inc., was founded in 1933 and is a privately held, independent financial services firm headquartered in Little Rock, Arkansas. As one of the largest privately owned investment banks in the United States, Stephens has 28 offices worldwide and employs more than 1,200 people. The firm's mission is to become a trusted advisor to clients in all aspects of their business and personal finances, focusing on relationships over transactions, and assisting clients as they interact with the financial markets, consider capital formation and preservation, and analyze strategic alternatives. The firm's core values include relationships, financial strength, taking responsibility, and contributing to the shared future.

Investment Focus

• U.S. equity securities
• Long-only investments
• No margin usage