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Chief Compliance Officer · Kestra Investment Management, LLC.

Stephen G. Smith

CRD 4222732 · Named on Form ADV at one SEC-registered adviser

At a glance

Kestra Investment Management, LLC., an SEC-registered asset manager based in Austin, TX with $4.3 billion in regulatory assets, lists Stephen G. Smith on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

AtlasMembers

Stephen’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Kara M. MurphyChief Investment Officer, EVP, Kestra Investment Management, LLC.
  • Jean-Luc DupontChief Information Security Officer, Kestra Investment Management, LLC.
  • Vinay KantEVP, Chief Digital Technology Officer, Kestra Investment Management, LLC.
  • Scott M. ZegersChief Financial Officer, Kestra Investment Management, LLC.
  • Jeremy S. CarrEVP, General Counsel, Kestra Investment Management, LLC.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Stephen’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.