Robert Stephen Capital Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$198,847,843
Clients
175
Advisors
3
of 5 employees
About
Robert Stephen Capital Management (d/b/a SMS) provides investment advisory and financial planning services to individuals, high‑net‑worth clients, and institutional clients such as pension and profit‑sharing plans, foundations, and charities. Services include portfolio development and monitoring on both discretionary and non‑discretionary bases, plus written financial plans and hourly consulting engagements.
The firm implements diversified portfolios using mutual funds, ETFs, individual stocks and bonds and employs a mix of analysis techniques (fundamental, technical, charting and cyclical) with strategies that range from long‑term investing to trading, options and margin when appropriate. SMS also allocates to third‑party managers and sub‑advisors for separate‑account management and coordinates block trading and custodial execution through its chosen custodians.
Two features that distinguish SMS from many peers are its use of performance‑based fees on certain accounts and the fact that some of its investment adviser representatives are licensed insurance agents who may receive commissions on insurance sales; the brochure describes these as conflicts the firm manages through disclosure, policies and a code of ethics. The firm also operates as a platform for IARs to use different trade names and to recommend TPMs, creating a hybrid model combining advisor‑driven practices with third‑party manager relationships.
Client services
Expertise
Fee options
$0 - $500,000: 1.5% $500,001 - $1,000,000: 1.25% $1,000,001+: 1.0%
Certain IARs receive commissions on insurance products sold through an independent insurance agency.
$100-$300 per hour for financial planning and consulting services.
Performance-based fees charged on certain client accounts in addition to asset-based fees.
Account minimum: $250,000
Main office
4111 S. Darlington, Suite 120
Tulsa OK 74135
Advisors at this office
3
Most active in
Arkansas · Florida · Oklahoma · Texas
Also doing business as
Dba: Robert Stephen Capital Management · Dba: Wealth Management Solutions · Robert Stephen Capital Management LLC · Sms Financial & Investment Management · Streeter Moore & Stipe LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Brian M
Series 66
Tulsa, OK
Robert Stephen Capital Management LLC
Brian Mcguire is a financial advisor at Robert Stephen Capital Management LLC with 25 years of industry experience. He holds a Series 66 designation and has worked at Financial Services International Corp since 2014 and Streeter Moore & Stipe LLC since 2011. Outside of his advisory roles, Mcguire provides tutoring services through Classic Conversations for approximately three hours per week. Robert Stephen Capital Management LLC offers portfolio development, monitoring, and financial planning services primarily to individual and high-net-worth clients, as well as retirement plans, foundations, and other institutions. The firm employs a variety of analytical methods to build individualized portfolios and manages most client assets on a discretionary basis.
Robert B
Series 66
Tulsa, OK
Robert Stephen Capital Management LLC
Robert Bandy is a financial advisor at Robert Stephen Capital Management LLC with 25 years of industry experience. He holds a Series 66 designation and has worked with Streeter, Moore & Stipe LLC since 2001. In addition to his advisory role, he owns a software firm, FINIAT, LLC, which develops risk and asset allocation software for professional money managers. Robert Stephen Capital Management LLC provides portfolio development, monitoring, financial planning, and consulting services to individual and high-net-worth clients, as well as retirement plans, foundations, and other institutional clients. The firm uses a variety of analytical methods and investment vehicles to implement long-term and short-term strategies, managing most client assets on a discretionary basis.
Stephen S
Series 63, Series 65
Tulsa, OK
Robert Stephen Capital Management LLC
Stephen Streeter is a financial advisor with Robert Stephen Capital Management LLC in Tulsa, OK, holding Series 63 and Series 65 licenses and bringing 33 years of industry experience. He has worked with Streeter, Moore & Stipe LLC since 1995 and has been with Robert Stephen Capital Management LLC since 2012. Streeter serves as a trustee on the Oklahoma Teachers Retirement System Board of Trustees, participating on the investment committee. Robert Stephen Capital Management LLC provides portfolio development, monitoring, and financial planning services primarily to individual and high-net-worth clients, as well as retirement plans, foundations, and other institutional clients. The firm employs a variety of analytical methods and portfolio strategies, managing most assets on a discretionary basis and offering performance-based fees on certain accounts.
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