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RIA / WealthAdvisor21 years in industry

JOHN POCCESCHI

Advisor at STIFEL CAPITAL MANAGEMENT, LLC

Princeton Junction, NJ

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Search this name across graphsid dfx:ria:d94c6cdc-0017-6697-d7e1-967b9cf4f0a1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Feb 3, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STIFEL CAPITAL MANAGEMENT, LLC
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 2, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Feb 2, 2005
First registration: Feb 3, 2005
Dual registered: no
Other names: John Pocceschi|JOHN PAUL POCCESCHI
IAPD individual key: 1442521

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STIFEL CAPITAL MANAGEMENT, LLC	Other adviser	Feb 4, 2026	n/a	yes	Princeton Junction, NJ	Current employment
SPRING MOUNTAIN CAPITAL, LP	Asset manager	Mar 17, 2021	Feb 13, 2026	no	West Windsor, NJ	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Dec 16, 2019	Oct 30, 2020	no	WARRINGTON, PA\|NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 8, 2018	Dec 21, 2019	no	DOYLESTOWN, PA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 25, 2010	Mar 15, 2018	no	NEW YORK, NY\|WEEHAWKEN, NJ	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Feb 4, 2010	Apr 14, 2010	no	MOUNT LAUREL, NJ	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Oct 26, 2006	Oct 1, 2009	no	JERSEY CITY, NJ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Oct 26, 2006	Oct 1, 2009	no	JERSEY CITY, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 3, 2005	Jul 18, 2006	no	PLAINSBORO, NJ\|PENNINGTON, NJ\|PRINCETON, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SPRING MOUNTAIN CAPITAL, LP	STIFEL CAPITAL MANAGEMENT, LLC	Feb 13, 2026	Feb 4, 2026	-9	Firm change	Other
OPPENHEIMER & CO. INC.	SPRING MOUNTAIN CAPITAL, LP	Oct 30, 2020	Mar 17, 2021	138	Firm change	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	OPPENHEIMER & CO. INC.	Dec 21, 2019	Dec 16, 2019	-5	Firm change	Wirehouse to ibd
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 15, 2018	Jun 8, 2018	85	Firm change	Wirehouse to wirehouse
VALIC FINANCIAL ADVISORS, INC.	UBS FINANCIAL SERVICES INC.	Apr 14, 2010	Jun 25, 2010	72	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Oct 1, 2009	Oct 26, 2006	-1,071	Channel change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 1, 2009	Oct 26, 2006	-1,071	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD AMERITRADE, INC.	Jul 18, 2006	Oct 26, 2006	100	Firm change	Wirehouse to new firm

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
119126:328365:NJ:2026-02-13	Feb 13, 2026	Feb 4, 2026	WEST WINDSOR, NJ	Firm change

Relationships

Registered with (8)

→ STIFEL CAPITAL MANAGEMENT, LLCRegistered adviserregistration: current employment
Feb 4, 2026 to presentfactForm ADV
→ SPRING MOUNTAIN CAPITAL, LPRegistered adviserregistration: previous registration
Mar 17, 2021 to Feb 13, 2026factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Dec 16, 2019 to Oct 30, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 8, 2018 to Dec 21, 2019factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 25, 2010 to Mar 15, 2018factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Feb 4, 2010 to Apr 14, 2010factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 26, 2006 to Oct 1, 2009factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Oct 26, 2006 to Oct 1, 2009factForm ADV

Dated events

Occurred
Feb 13, 2026
Advisor changed firm
John Pocceschi left Spring Mountain Capital, Lp for Stifel Capital Management, Llc (registered 2026-02-04)
Form ADVobserved 6 days ago