{
  "crd_number": 105056,
  "slug": "stacey-braun-associates-inc-new-york-ny-105056",
  "primary_business_name": "STACEY BRAUN ASSOCIATES INC",
  "legal_name": "STACEY BRAUN ASSOCIATES INC",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1975-08-11",
  "years_registered": 51,
  "period": "2026-10-01",
  "filing_date": "2026-03-19",
  "carried_forward": false,
  "raum_total": 5500200000.0,
  "raum_discretionary": 5439700000.0,
  "raum_non_discretionary": 60500000.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 17,
  "advisory_employees": 9,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 1515500000.0,
      "count": 81,
      "description": "WELFARE, ANNUITY, APPRENTICE & RETRAINING, EDUCATION, SEVERANCE, UNEMPLOYMENT, OPERATING, FOUNDATIONS, SCHOLARSHIP"
    },
    "individuals": {
      "raum": 328700000.0,
      "count": 883
    },
    "state_municipal": {
      "raum": 653300000.0,
      "count": 60
    },
    "pension_profit_sharing": {
      "raum": 2837600000.0,
      "count": 49
    },
    "high_net_worth_individuals": {
      "raum": 102300000.0,
      "count": 12
    },
    "corporations_other_businesses": {
      "raum": 62800000.0,
      "count": 6
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "CT",
    "FL",
    "MA",
    "MD",
    "NJ",
    "NY",
    "PA",
    "TX",
    "VA"
  ],
  "websites": [
    "https://linkedin.com/company/stacey-braun-associates-inc",
    "https://staceybraun.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/105056",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/stacey-braun-associates-inc-new-york-ny-105056",
  "display_name": "Stacey Braun Associates Inc",
  "summary": "Stacey Braun Associates Inc is an SEC-registered investment advisory firm in New York, NY, registered since 1975, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 19, 2026.",
  "citation": "AdvisorCensus. Stacey Braun Associates Inc (CRD 105056): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Stacey Braun Associates Inc compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Stacey Braun Associates Inc reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Stacey Braun Associates Inc located?",
      "a": "Stacey Braun Associates Inc's principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is Stacey Braun Associates Inc registered with the SEC or a state?",
      "a": "Stacey Braun Associates Inc is an SEC-registered investment advisory firm, registered since 1975. Status as filed: Approved. CRD 105056."
    },
    {
      "q": "How much does Stacey Braun Associates Inc manage?",
      "a": "Stacey Braun Associates Inc reports $5,500,200,000 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (99% discretionary)."
    },
    {
      "q": "How have Stacey Braun Associates Inc's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Stacey Braun Associates Inc: Regulatory assets under management: $4,091,300,000 in the October 2021 data and $5,500,200,000 in the October 2026 data, up 34%. Total employees: 17 in October 2021 and 17 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Stacey Braun Associates Inc serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (883); other (81); state or municipal government entities (including government pension plans) (60)."
    },
    {
      "q": "Which custodians does Stacey Braun Associates Inc use?",
      "a": "Stacey Braun Associates Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Amalgamated Bank, PNC Bank and U.S. Bank as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Stacey Braun Associates Inc report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/105056"
    },
    {
      "q": "What changed in Stacey Braun Associates Inc's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $4,815,400,000 to $5,500,200,000 (+14%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 4091300000.0,
      "total_employees": 17,
      "filing_date": "2021-03-23"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 4743200000.0,
      "total_employees": 16,
      "filing_date": "2022-03-30"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 3649300000.0,
      "total_employees": 16,
      "filing_date": "2023-03-29"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 4151900000.0,
      "total_employees": 16,
      "filing_date": "2024-03-28"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 4815400000.0,
      "total_employees": 17,
      "filing_date": "2025-03-19"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 5500200000.0,
      "total_employees": 17,
      "filing_date": "2026-03-19"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $4,815,400,000 to $5,500,200,000 (+14%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Amalgamated Bank",
      "name_as_filed": "AMALGAMATED BANK",
      "affiliated": false
    },
    {
      "name": "PNC Bank",
      "name_as_filed": "PNC BANK",
      "affiliated": false
    },
    {
      "name": "U.S. Bank",
      "name_as_filed": "U.S. BANK",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/stacey-braun-associates-inc-new-york-ny-105056.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 883,
      "fewer_than_5": false,
      "raum": 328700000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 12,
      "fewer_than_5": false,
      "raum": 102300000.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 49,
      "fewer_than_5": false,
      "raum": 2837600000.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 60,
      "fewer_than_5": false,
      "raum": 653300000.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 6,
      "fewer_than_5": false,
      "raum": 62800000.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 81,
      "fewer_than_5": false,
      "raum": 1515500000.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/105056",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}