# Stacey Braun Associates Inc

> 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.

- CRD: 105056
- Filed as: STACEY BRAUN ASSOCIATES INC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/105056
- AdvisorCensus page: https://advisorcensus.com/firm/stacey-braun-associates-inc-new-york-ny-105056

## Quick answers

**How is Stacey Braun Associates Inc compensated?**
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.

**Where is Stacey Braun Associates Inc located?**
Stacey Braun Associates Inc's principal office is in New York, NY, according to its Form ADV.

**Is Stacey Braun Associates Inc registered with the SEC or a state?**
Stacey Braun Associates Inc is an SEC-registered investment advisory firm, registered since 1975. Status as filed: Approved. CRD 105056.

**How much does Stacey Braun Associates Inc manage?**
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).

**How have Stacey Braun Associates Inc's assets and staff changed since 2021?**
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.

**What types of clients does Stacey Braun Associates Inc serve?**
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).

**Which custodians does Stacey Braun Associates Inc use?**
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.

**Does Stacey Braun Associates Inc report any disciplinary disclosures?**
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

**What changed in Stacey Braun Associates Inc's recent Form ADV filings?**
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).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Amalgamated Bank
- PNC Bank
- U.S. Bank

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.

### Regulatory assets under management (Item 5.F)
- Total: $5,500,200,000
- Discretionary: $5,439,700,000
- Non-discretionary: $60,500,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 883 | $328,700,000 |
| High net worth individuals | 12 | $102,300,000 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 49 | $2,837,600,000 |
| State or municipal government entities (including government pension plans) | 60 | $653,300,000 |
| Corporations or other businesses not listed above | 6 | $62,800,000 |
| Other | 81 | $1,515,500,000 |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 1975 (51 years)
- Employees: 17 total, 9 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CA, CT, FL, MA, MD, NJ, NY, PA, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [staceybraun.com](https://staceybraun.com)
- LinkedIn @stacey-braun-associates-inc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $4,091,300,000 | 17 | March 23, 2021 |
| October 2022 | $4,743,200,000 | 16 | March 30, 2022 |
| October 2023 | $3,649,300,000 | 16 | March 29, 2023 |
| October 2024 | $4,151,900,000 | 16 | March 28, 2024 |
| October 2025 | $4,815,400,000 | 17 | March 19, 2025 |
| October 2026 | $5,500,200,000 | 17 | March 19, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Stacey Braun Associates Inc (CRD 105056): Form ADV filing data as of October 2026.