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Stephen Ward Chaffin

Mai Capital Management, LLC

Little Rock, AR

CRD 1052886

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Employer firm

Mai Capital Management, LLC CRD 109807

$52.1B regulatory AUM 132 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting

From the firm’s Form ADV. Read the guides:

Current Employers
Mai Capital Management, Llc

6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-07-17
AR RA APPROVED 2021-01-04
  • TX RA
    APPROVED_RES
    Since 2026-07-17
  • AR RA
    APPROVED
    Since 2021-01-04

Branch Locations

100 River Bluff Drive Suite 410, Little Rock, AR 72202 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Smith Capital Management Little Rock AR 01/1996 12/2020
Mai Capital Management Little Rock AR 12/2020 Present
  • 01/1996 → 12/2020
    Smith Capital Management
    Little Rock, AR
  • 12/2020 → Present
    Mai Capital Management
    Little Rock, AR
Previous Registrations
  • 1996-03-01 → 2020-12-15
    Smith Capital Management Inc
    Little Rock, AR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-12
S63 Uniform Securities Agent State Law Examination 1982-07-16
  • S65 Uniform Investment Adviser Law Examination
    1996-02-12
  • S63 Uniform Securities Agent State Law Examination
    1982-07-16

View on SEC IAPD

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