AdvisorRanked
82
Some Concerns

STEWARD PARTNERS INVESTMENT ADVISORY, LLC

400 ATLANTIC STREET, STAMFORD, CT 06901-3512
commissionSEC Registered
866-694-7769 www.youtube.com/@stewardpartners CRD #283004
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$33.5B
Assets Managed
310
Clients
549
Employees
10
Years Active
since 2016

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46146. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: Yes

This firm is affiliated with a broker-dealer, which means they may earn commissions on product sales — creating a potential conflict between their revenue and your best interest.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: Yes

This firm has direct custody of client assets, rather than using an independent custodian. This is a higher-risk arrangement that requires additional regulatory safeguards.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46146

1 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 1

Complaint ratio: 0.32 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameSTEWARD PARTNERS INVESTMENT ADVISORY, LLC
CRD Number#283004
SEC RegisteredYes
Registration Date2016-03-16
States RegisteredCT
Assets Under Management$33.5B
Number of Clients310
Employees549
Compensation Typecommission
Last ADV Filing46146

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Frequently Asked Questions

Is STEWARD PARTNERS INVESTMENT ADVISORY, LLC a fiduciary?

No. STEWARD PARTNERS INVESTMENT ADVISORY, LLC is not registered as an RIA and is not legally bound by the fiduciary standard.

How does STEWARD PARTNERS INVESTMENT ADVISORY, LLC charge clients?

STEWARD PARTNERS INVESTMENT ADVISORY, LLC uses a commission compensation model. They also earn commissions on product sales, which may create conflicts of interest. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does STEWARD PARTNERS INVESTMENT ADVISORY, LLC have any complaints?

Yes. STEWARD PARTNERS INVESTMENT ADVISORY, LLC has 1 complaint(s) on record. Their complaint ratio is 0.32 per 100 clients (industry average: ~0.15).

How does STEWARD PARTNERS INVESTMENT ADVISORY, LLC compare to other advisors in STAMFORD?

STEWARD PARTNERS INVESTMENT ADVISORY, LLC has a Red Flag Score of 82/100. There are 114 registered advisory firms in STAMFORD. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46146. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.