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  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/793",
  "disclosure_items": [
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    },
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(1)",
      "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "ST LOUIS",
  "url": "https://advisorcensus.com/firm/stifel-nicolaus-and-company-incorporated-st-louis-mo-793",
  "display_name": "Stifel, Nicolaus & Company, Incorporated",
  "summary": "Stifel, Nicolaus & Company, Incorporated is an SEC-registered investment advisory firm in St Louis, MO, registered since 1975, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 15, 2026.",
  "citation": "AdvisorCensus. Stifel, Nicolaus & Company, Incorporated (CRD 793): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Commissions"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Stifel, Nicolaus & Company, Incorporated compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Stifel, Nicolaus & Company, Incorporated reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); commissions."
    },
    {
      "q": "Where is Stifel, Nicolaus & Company, Incorporated located?",
      "a": "Stifel, Nicolaus & Company, Incorporated's principal office is in St Louis, MO, according to its Form ADV; the October 2026 filing also lists 24 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Stifel, Nicolaus & Company, Incorporated registered with the SEC or a state?",
      "a": "Stifel, Nicolaus & Company, Incorporated is an SEC-registered investment advisory firm, registered since 1975. Status as filed: Approved. CRD 793."
    },
    {
      "q": "How much does Stifel, Nicolaus & Company, Incorporated manage?",
      "a": "Stifel, Nicolaus & Company, Incorporated reports $197,532,233,502 in regulatory assets under management in its Form ADV filing dated September 15, 2026 (64% discretionary)."
    },
    {
      "q": "How have Stifel, Nicolaus & Company, Incorporated's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Stifel, Nicolaus & Company, Incorporated: Regulatory assets under management: $117,820,023,852 in the October 2021 data and $197,532,233,502 in the October 2026 data, up 68%. Total employees: 6,361 in October 2021 and 6,478 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Stifel, Nicolaus & Company, Incorporated serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (156,989); high net worth individuals (73,687); corporations or other businesses not listed above (1,967)."
    },
    {
      "q": "Does Stifel, Nicolaus & Company, Incorporated report any disciplinary disclosures?",
      "a": "Reports 12 disclosure items on Form ADV Item 11: yes answers to 1 question about criminal matters and 11 questions about regulatory matters (11.A(2), 11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.D(5), 11.E(1), 11.E(2), 11.E(4)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/793"
    },
    {
      "q": "What changed in Stifel, Nicolaus & Company, Incorporated's recent Form ADV filings?",
      "a": "In the August 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 117820023852.0,
      "total_employees": 6361,
      "filing_date": "2021-10-01"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 148561390277.0,
      "total_employees": 6384,
      "filing_date": "2022-09-12"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 132550931898.0,
      "total_employees": 6729,
      "filing_date": "2023-08-04"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 149248936163.0,
      "total_employees": 6534,
      "filing_date": "2024-08-12"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 171209609487.0,
      "total_employees": 6464,
      "filing_date": "2025-06-30"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 197532233502.0,
      "total_employees": 6478,
      "filing_date": "2026-09-15"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 3045 to 3079.",
        "Regulatory assets under management went from $171,209,609,487 to $197,532,233,502 (+15%).",
        "Changed its office addresses in Clayton, MO.",
        "Added an office in Boston, MA.",
        "Added an office in Chicago, IL.",
        "Added an office in Yardley, PA.",
        "No longer lists an office in Canfield, OH.",
        "No longer lists an office in Center Valley, PA.",
        "No longer lists an office in Hauppauge, NY."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/stifel-nicolaus-and-company-incorporated-st-louis-mo-793.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 156989,
      "fewer_than_5": false,
      "raum": 41025781469.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 73687,
      "fewer_than_5": false,
      "raum": 137414919049.0
    },
    {
      "type": "banking_thrift",
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      "count": 551,
      "fewer_than_5": false,
      "raum": 2680545230.0
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    {
      "type": "investment_companies",
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      "fewer_than_5": false,
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    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 22,
      "fewer_than_5": false,
      "raum": 367285992.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 1481,
      "fewer_than_5": false,
      "raum": 2569165672.0
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    {
      "type": "charitable",
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      "count": 1426,
      "fewer_than_5": false,
      "raum": 5349397955.0
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    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 47,
      "fewer_than_5": false,
      "raum": 1751029662.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": null,
      "fewer_than_5": true,
      "raum": 31511108.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
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      "fewer_than_5": false,
      "raum": 135023649.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 1967,
      "fewer_than_5": false,
      "raum": 6205721954.0
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    {
      "type": "other",
      "label": "Other",
      "count": 8,
      "fewer_than_5": false,
      "raum": 1851762.0
    }
  ],
  "disclosure_line": "Reports 12 disclosure items on Form ADV Item 11.",
  "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/793",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}