AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AT

Anil Thomas

STEPHENS INVESTMENT MANAGEMENT GROUP
Evanston, IL
Some features on this profile are disabled
CRD#: 5477570
AT

Professional summary

Anil Thomas, who also goes by Anil K. Thomas, is a registered financial advisor currently at STEPHENS INVESTMENT MANAGEMENT GROUP, LLC located in Evanston, Illinois.

Anil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Anil has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Anil K. Thomas

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.
Kennedy Capital Management LLC; ST. Louis, MO; Investment Related; Began 7/20/2020; Investment Management; Managing Director; responsible for overseeing the business development efforts of the firm and for establishing and maintaining relationships with institutions and consultants.; 200 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anil Thomas'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 9, 2024 - Present

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

RIA
CRD#: 136369
Evanston, IL
Past

September 11, 2020 - July 15, 2024

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
PORTLAND, ME
Past

July 31, 2020 - July 15, 2024

KENNEDY CAPITAL MANAGEMENT

RIA
CRD#: 105834
St. Louis, MO
Past

May 22, 2018 - July 13, 2020

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
Chicago, IL
Past

August 29, 2013 - December 13, 2017

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

January 15, 2008 - July 29, 2013

GENEVA ADVISORS, LLC

RIA
CRD#: 121629
CHICAGO, IL

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".
SI
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC
SIMG | STEPHENS OF ARKANSAS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP | STEPHENS FUNDS

CRD#: 136369 / SEC#: 801-64675

RIA
Registered Investment Advisory firm - (9/2/2005 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
Illinois
(8/9/2024)
IAR
Texas
(8/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/20/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/12/2008
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/2013
General Securities Representative Examination

Current Firm

SI
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC
SIMG | STEPHENS OF ARKANSAS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP | STEPHENS FUNDS

CRD#: 136369 / SEC#: 801-64675

RIA
Registered Investment Advisory firm - (9/2/2005 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
111 Center Street, Little Rock, AR 72201
Mailing Address
Phone number
(800) 458-6589
Established
Firm type
Fiscal year end
# of Employees
23

SEC notice filing (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC (3/31/2025)

Regulatory assets under management

Total Number of Accounts174
AUM (Assets Under Management)$ 7,637,388,860

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/22/2025
Cover Page
Report
02/07/2024
Cover Page
Report
11/29/2022
Cover Page
Report

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.

Company Information

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

CRD#: 136369Evanston, IL

TRUST BUT VERIFY

Monitor Anil Thomas

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics