STACEY BRAUN ASSOCIATES INC

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	New York, United States

Employees

Total Number of Employees	16
Investment Advisory/Research	9
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	0
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	1,057	$4.1B
Non-Discretionary	2	$52.8M
Total	1,059	$4.2B

Clients

Type	Number	RAUM
Individuals	854	$260.7M
HNW Individuals	9	$66.0M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	54	$2.1B
Charitable organizations	0	$0
State or municipal gov entities	54	$480.8M
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	7	$47.3M
Other	81	$1.2B

Type	Number
No. of Non-RAUM Clients	2000
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	2500

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsEducational seminars/workshops
Compensation	% of AUMHourly chargesFixed fees
Other Business Activities	Insurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	219.8M
Both for Same	0

Portfolio Manager to Program	Sponsor
CHARLES SCHWAB WRAP FEE PROGRAM	CHARLES SCHWAB & CO., INC.

Identifiers

SEC RIA File Number	801-10933
SEC ERA File Number	801-10933
SEC CIK Numbers	None
SEC CRD Numbers	105056
Legal Entity Identifier	None

Principal Office

377 BROADWAY
NEW YORK
NY
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic