Clayton B. James

STEPHENS GROUP ASSET MANAGEMENT

LITTLE ROCK, AR 72202-2215

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CRD#: 3141669

Professional summary

Clayton Blakely James, who also goes by Blake James, Clayton James, is a registered financial advisor currently at STEPHENS GROUP ASSET MANAGEMENT, LLC located in Little Rock, Arkansas.

Clayton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Clayton has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Blake James | Clayton James

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clayton Blakely James's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 20, 2019 - Present

STEPHENS GROUP ASSET MANAGEMENT, LLC

Office #1: 100 River Bluff Drive Suite 220, Little Rock, AR 72202-2215

RIA

CRD#: 288981

LITTLE ROCK, AR

Past

September 5, 2000 - July 22, 2019

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

February 9, 1999 - June 16, 1999

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STEPHENS GROUP ASSET MANAGEMENT, LLC

SG-RIA, LLC | STEPHENS GROUP ASSET MANAGEMENT, LLC

CRD#: 288981 / SEC#: 801-111747

RIA

Registered Investment Advisory firm - (9/26/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arkansas
(8/20/2019)

IAR

Oklahoma
(8/12/2024)

IAR

Texas
(11/30/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/20/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/8/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/19/2010

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/25/2010

General Securities Sales Supervisor - Options Module Examination

Current Firm

STEPHENS GROUP ASSET MANAGEMENT, LLC

SG-RIA, LLC | STEPHENS GROUP ASSET MANAGEMENT, LLC

CRD#: 288981 / SEC#: 801-111747

RIA

Registered Investment Advisory firm - (9/26/2017 Approved)

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Contact information

Main Address

100 River Bluff Drive Suite 220, Little Rock, AR 72202-2215

Mailing Address

Phone number

(501) 246-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR STEPHENS GROUP ASSET MANAGEMENT, LLC (3/31/2025)

Regulatory assets under management

Total Number of Accounts	412
AUM (Assets Under Management)	$ 1,409,178,355

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Clayton B. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clayton Blakely James's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEPHENS

STEPHENS

Primary Firm SEC Registration

STEPHENS GROUP ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/2019

Series 63

Date: 4/5/1999

SIE

Date: 10/1/2018

Series 7

Date: 2/8/1999

Series 10

Date: 7/19/2010

Series 9

Date: 1/25/2010

Current Firm

STEPHENS GROUP ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEPHENS GROUP ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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