# Stifel Capital Management, LLC

> Stifel Capital Management, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2023, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 328365
- Filed as: STIFEL CAPITAL MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/328365
- AdvisorCensus page: https://advisorcensus.com/firm/stifel-capital-management-llc-new-york-ny-328365

## Quick answers

**How is Stifel Capital Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Stifel Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Stifel Capital Management, LLC located?**
Stifel Capital Management, LLC's principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Stifel Capital Management, LLC registered with the SEC or a state?**
Stifel Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 328365.

**How much does Stifel Capital Management, LLC manage?**
Stifel Capital Management, LLC reports $4,199,937,688 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**How have Stifel Capital Management, LLC's assets and staff changed since 2024?**
In the Form ADV data for Stifel Capital Management, LLC: Regulatory assets under management: $745,405,535 in the October 2024 data and $4,199,937,688 in the October 2026 data, up 463%. Total employees: 5 in October 2024 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Stifel Capital Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (257); high net worth individuals (161); corporations or other businesses not listed above (93).

**Does Stifel Capital Management, LLC 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/328365

**What changed in Stifel Capital Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 1 to 5. Regulatory assets under management went from $1,487,893,776 to $4,199,937,688 (+182%).

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $4,199,937,688
- Discretionary: $4,199,937,688
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 257 | $123,341,974 |
| High net worth individuals | 161 | $593,938,656 |
| State or municipal government entities (including government pension plans) | 20 | $1,958,168,272 |
| Other investment advisers | 18 | $53,350,719 |
| Corporations or other businesses not listed above | 93 | $1,471,138,067 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2023 (2 years)
- Employees: 9 total, 5 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- West Windsor, NJ

### Websites listed on Form ADV (Item 1.I)
- stifelcapitalmanagement.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2024 | $745,405,535 | 5 | March 28, 2024 |
| October 2025 | $1,487,893,776 | 5 | June 10, 2025 |
| October 2026 | $4,199,937,688 | 9 | March 31, 2026 |

Regulatory assets under management: $745,405,535 in the October 2024 data and $4,199,937,688 in the October 2026 data, up 463%.
Total employees: 5 in October 2024 and 9 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 1 to 5.
- Regulatory assets under management went from $1,487,893,776 to $4,199,937,688 (+182%).

### March 2026
- Added an office in West Windsor, NJ.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Stifel Capital Management, LLC (CRD 328365): Form ADV filing data as of October 2026.