STIFEL CAPITAL MANAGEMENT, LLC
Adviser information for STIFEL CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 19 | $745.4M |
| Non-Discretionary | 0 | $0 |
| Total | 19 | $745.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $97.5M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $139.0M |
| Other investment advisers | <5 | $37.8M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 10 | $471.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 339.1M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| OPPORTUNITY | STIFEL, NICOLAUS & COMPANY, INCORPORATED |
| CONNECT | STIFEL, NICOLAUS & COMPANY, INCORPORATED |
Identifiers
| SEC RIA File Number | 801-129003 |
|---|---|
| SEC ERA File Number | 801-129003 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 328365 |
| Legal Entity Identifier | None |
Principal Office
1095 AVENUE OF THE AMERICASNEW YORK
NY
United States
Monday - Friday, 8:00 TO 5:00
Tel: 212-328-1000, Fax: None
Websites
Chief Compliance Officer
MICHAEL A. SPERO
CHIEF COMPLIANCE OFFICER
7200 WISCONSIN AVENUE, SUITE 310
BETHESDA
MD
United States
Tel:
301-941-2439
S*****@*********M
(Full email address available in API data)
Regulatory Contact
RICHARD GRODEON
501 N. BROADWAY
ST. LOUIS
MO
United States
Tel:
314-342-2141
G*******@*********M
(Full email address available in API data)
Industry Affiliates
| 1919 INVESTMENT COUNSEL, LLC | Other investment adviser, including financial planners |
| CSA INSURANCE AGENCY INCORPORATED | Insurance company or agency |
| EATON PARTNERS (UK) LLP | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| EATON PARTNERS HONG KONG | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| KEEFE, BRUYETTE & WOODS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SIERRA PACIFIC SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| STIFEL ACCESS SERVICES LLC | Sponsor, GP, manager of pooled investment vehicles |
| STIFEL BANK | Banking or thrift institution |
| STIFEL BANK & TRUST | Banking or thrift institutionTrust company |
| STIFEL EUROPE BANK AG | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| STIFEL INDEPENDENT ADVISORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| STIFEL NICOLAUS CANADA INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| STIFEL NICOLAUS EUROPE LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| STIFEL NICOLAUS INSURANCE AGENCY INCORPORATED | Insurance company or agency |
| STIFEL NICOLAUS ISRAEL LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| STIFEL SCHWEIZ AG | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| STIFEL TRUST COMPANY | Trust company |
| STIFEL WEALTH TRACKER | Other investment adviser, including financial planners |
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisorCommodity pool operator or commodity trading advisorInsurance company or agencySponsor, GP, manager of pooled investment vehicles |
| TRUST COMPANY DELAWARE | Trust company |
| WASHINGTON CROSSING ADVISORS LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STIFEL FINANCIAL CORP | Domestic Entity | – | SHAREHOLDER | 09/2023 | > 75% |
| Spero, Michael, Alexander | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2023 | < 5% |
| Perez, Cynthia, Teresa | Individual | – | CHIEF OPERATING OFFICER | 09/2023 | < 5% |
| TOPALIAN, ADAM, VARTAN | Individual | – | CHIEF INVESTMENT OFFICER | 09/2023 | < 5% |
| Stein, Avi | Individual | – | CHIEF FINANCIAL OFFICER | 09/2023 | < 5% |