Steward Partners Investment Advisory, LLC

Registered investment adviser · Stamford, CT · CRD #283004

Form ADV data as of 2026-09-01

Regulatory assets

$36.73 billion

Total accounts

72,273

Employees

549

Disclosure events

Firm details

Website: https://www.instagram.com/stewardpartners/
Telephone: 866-694-7769
SEC file number: 801-107426
Most recent Form ADV filing: 2026-07-30
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 2 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator found a violation of investment-related regulations or statutes
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$30.02 billion
Non-discretionary regulatory assets under management	$6.71 billion
Total regulatory assets under management	$36.73 billion
Discretionary accounts	61,340
Non-discretionary accounts	10,933
Total accounts	72,273
Regulatory assets under management attributable to non-U.S. persons	$1.93 billion

People

Total employees (excluding clerical)	549
Employees performing investment advisory functions (including research)	310
Employees who are registered representatives of a broker-dealer	471
Employees registered as investment adviser representatives with a state	439
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	337
Firms or persons who solicit advisory clients on the firm's behalf	19

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$849.0 million
Clients for whom the firm has custody	2,547
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	2

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Other

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Insurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	18,249	$6.81 billion
High net worth individuals	23,474	$27.89 billion
Pension and profit sharing plans (not the participants or government plans)	506	$450.9 million
Charitable organizations	126	$316.1 million
State or municipal government entities (including government pension plans)	Not reported	$1.4 million
Corporations or other businesses not listed above	408	$1.25 billion