John William Stephens

Current Employers

Royal Fund Management, Llc

1515 Buenos Aires Blvd, Lady Lake, FL 32159 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2013-05-10

TX RA
APPROVED

Since 2013-05-10

Branch Locations

Allen, TX • United States

1515 Buenos Aires Blvd, Lady Lake, FL 32159 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Royal Fund Management, Llc Dba Gatekeeper Investment Advisers	Allen	TX	05/2013	Present
John W. Stephens, Cpa, Pllc	Allen	TX	03/2000	Present
Zcomp, Llc	Allen	TX	04/2019	Present
Lag Box, Llc	Allen	TX	10/2020	Present

05/2013 → Present

Royal Fund Management, Llc Dba Gatekeeper Investment Advisers

Allen, TX
03/2000 → Present

John W. Stephens, Cpa, Pllc

Allen, TX
04/2019 → Present

Zcomp, Llc

Allen, TX
10/2020 → Present

Lag Box, Llc

Allen, TX

Previous Registrations

2012-02-13 → 2013-09-16

American Elite Retirement

Allen, TX
2001-07-02 → 2003-06-30

1St Global Advisors Inc

Plano, TX

Other Businesses

1) Managing Member - Triple Threat Financial Services, LLC, a website page; financial services marketing and sales company, non-investment related, 11/2015, spends less than 2 hours per week, create marketing pieces to drive business to investments, insurance and tax. 2) Insurance Agent - 10/2003; Investment Related, Life Health & Annuity Products; Allen TX 3) John W. Stephens, CPA, PLLC; registered CPA Firm; managing member/CPA; non-investment related; 1529 Bethlehem Rd, Allen, TX 75002, approximately 15 hours per week; 900 hours per year. 4) ZComp, LLC; 1529 Bethlehem Rd., Allen, TX 75002; Payroll services company providing full service payroll processing; 04/2019; President; Approximately 20% of time spent; non investment related 5) Lag Box, LLC; 1529 Bethlehem Rd., Allen, TX 75002; Product Manufacturer; 10/2020; Chief Executive Officer; Approximately 25% of time spent; non investment related

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-12-12
S66	Uniform Combined State Law Examination	2001-02-15

S65 Uniform Investment Adviser Law Examination

2011-12-12
S66 Uniform Combined State Law Examination

2001-02-15

Other Names

John William Stephens

View on SEC IAPD