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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

STIFEL CAPITAL MANAGEMENT, LLC

CRD 328365

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ed17967b-5ac9-6195-48dc-b99f6f7dca8d

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 5
On other graphs: 0
Observed: Oct 3, 2023 to Mar 31, 2026
10 observations

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

Firm class: other adviserderivedprivate_client_share=0.17 fund_share=0.01 institutional_share=0.47 related_bd=true related_bank=true bd_reps=2.0
Regulatory AUM: $4.2BItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.2B
Private client RAUM: $717MderivedItem 5.D individuals plus high net worth individuals
Private client share: 17%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $840Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 549
Individual clients: 257
High net worth clients: 161
SEC number: 801-129003
CRD: 328365
Filings on the tape: 10
First filed: Oct 3, 2023
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, DE
Website: stifelcapitalmanagement.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ADAM VARTAN TOPALIAN	n/a	NEW YORK, NY	10	43	3	yes
Matthew T Zarrella	n/a	NEW YORK, NY	2	10	n/a	yes
JOHN POCCESCHI	n/a	Princeton Junction, NJ	0	21	8	no
MICHAEL JOSEPH SMITH	n/a	Princeton Junction, NJ	0	19	2	no
Bailey Harris Morganlander	n/a	NEW YORK, NY	0	11	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Perez, Cynthia, Teresa	CHIEF OPERATING OFFICER	Na	yes	09/2023	Oct 3, 2023	Nov 20, 2024
Spero, Michael, Alexander	CHIEF COMPLIANCE OFFICER	Na	yes	09/2023	Oct 3, 2023	Nov 20, 2024
Stein, Avi	CHIEF FINANCIAL OFFICER	Na	yes	09/2023	Oct 3, 2023	Nov 20, 2024
STIFEL FINANCIAL CORP	Shareholder	E	yes	09/2023	Oct 3, 2023	Nov 20, 2024
TOPALIAN, ADAM, VARTAN	CHIEF INVESTMENT OFFICER	Na	yes	09/2023	Oct 3, 2023	Nov 20, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
STIFEL, NICOLAUS & COMPANY, INCORPORATED	n/a	National bd RIA	$198B	N	yes	Mo
1919 INVESTMENT COUNSEL, LLC	n/a	Independent wealth	$26B	N	yes	n/a
STIFEL INDEPENDENT ADVISORS, LLC	n/a	Bd affiliated wealth	$5.0B	N	yes	n/a
WASHINGTON CROSSING ADVISORS LLC	n/a	Independent wealth	$2.0B	N	yes	n/a
EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC	n/a	Independent wealth	$221M	N	yes	n/a
INTYCE, LLC	n/a	No RAUM reported	$0	N	yes	n/a
CSA INSURANCE AGENCY INCORPORATED	n/a	n/a	n/a	N	yes	n/a
EATON PARTNERS (UK) LLP	n/a	n/a	n/a	N	yes	n/a
KEEFE, BRUYETTE & WOODS, INC.	n/a	n/a	n/a	N	yes	n/a
STIFEL ACCESS SERVICES LLC	n/a	n/a	n/a	N	yes	n/a
STIFEL BANK & TRUST, NATIONAL ASSOCIATION	n/a	n/a	n/a	N	yes	n/a
STIFEL BANK, NATIONAL ASSOCIATION	n/a	n/a	n/a	N	yes	n/a
STIFEL EUROPE BANK AG	n/a	n/a	n/a	N	yes	n/a
STIFEL HONG KONG LIMITED	n/a	n/a	n/a	N	yes	n/a
STIFEL NICOLAUS CANADA INC.	n/a	n/a	n/a	N	yes	n/a
STIFEL NICOLAUS EUROPE LIMITED	n/a	n/a	n/a	N	yes	n/a
STIFEL NICOLAUS INSURANCE AGENCY INCORPORATED	n/a	n/a	n/a	N	yes	n/a
STIFEL NICOLAUS ISRAEL LTD.	n/a	n/a	n/a	N	yes	n/a
STIFEL SCHWEIZ AG	n/a	n/a	n/a	N	yes	n/a
STIFEL TRUST COMPANY DELAWARE, NATIONAL ASSOCIATION	n/a	n/a	n/a	N	yes	n/a
STIFEL TRUST COMPANY, NATIONAL ASSOCIATION	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 3 of 4

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$4.2B	$4.2B	9	5	1	n/a	n/a
2024	Mar 28, 2025	$1.5B	$1.5B	5	1	0	n/a	n/a
2023	Mar 28, 2024	$745M	$745M	5	1	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	2	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$4.2B	$1.5B	182.3%	n/a	n/a	9	5	1	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SPRING MOUNTAIN CAPITAL, LP	2	Feb 13, 2026	Feb 11, 2026	WEST WINDSOR, NJ	Team lift out	Other	100.0%

Relationships

Registered with (5)

← Bailey Harris MorganlanderAdvisorregistration: current employment
Sep 11, 2026 to presentfactForm ADV
← MICHAEL JOSEPH SMITHAdvisorregistration: current employment
Feb 11, 2026 to presentfactForm ADV
← JOHN POCCESCHIAdvisorregistration: current employment
Feb 4, 2026 to presentfactForm ADV
← Matthew T ZarrellaAdvisorregistration: current employment
Apr 23, 2024 to presentfactForm ADV
← ADAM VARTAN TOPALIANAdvisorregistration: current employment
Mar 1, 2024 to presentfactForm ADV

Affiliated with (11)

← STIFEL INDEPENDENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserother investment adviser, common control
factForm ADV
← 1919 INVESTMENT COUNSEL, LLCRegistered adviserother investment adviser, common control
factForm ADV
← WASHINGTON CROSSING ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ 1919 INVESTMENT COUNSEL, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ EQUITYCOMPASS INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ WASHINGTON CROSSING ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ STIFEL INDEPENDENT ADVISORS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ STIFEL WEALTH TRACKERRegistered adviserother investment adviser, common control
factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserother investment adviser, broker-dealer, bank, pooled vehicle sponsor, custodian, common control
factForm ADV
← EQUITYCOMPASS INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Moved with (1)

← SPRING MOUNTAIN CAPITAL, LPRegistered adviser2 advisors, team lift out, same day
Feb 13, 2026 to Feb 11, 2026factForm ADV

Controls (5)

← TOPALIAN, ADAM, VARTANOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Oct 3, 2023 to Nov 20, 2024factForm ADV
← Perez, Cynthia, TeresaOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Oct 3, 2023 to Nov 20, 2024factForm ADV
← Spero, Michael, AlexanderOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 3, 2023 to Nov 20, 2024factForm ADV
← Stein, AviOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Oct 3, 2023 to Nov 20, 2024factForm ADV
← STIFEL FINANCIAL CORPOwnerSHAREHOLDER, ownership code E, domestic entity
Oct 3, 2023 to Nov 20, 2024factForm ADV

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
Stifel Capital Management, Llc reported RAUM $4.2B, up 182% from $1.5B (2026-02-13 to 2026-03-31)
Form ADVobserved 6 days ago
$2.7B
Occurred
Feb 13, 2026
Team lift-out
2 advisors left Spring Mountain Capital, LP (West Windsor, NJ) for Stifel Capital Management, LLC on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Mar 28, 2025
Regulatory AUM changed
Stifel Capital Management, Llc reported RAUM $1.5B, up 100% from $745.4M (2024-11-20 to 2025-03-28)
Form ADVobserved 6 days ago
$742M
Occurred
Mar 28, 2024
Regulatory AUM changed
Stifel Capital Management, Llc reported RAUM $745.4M, up 609% from $105.2M (2024-03-01 to 2024-03-28)
Form ADVobserved 6 days ago
$640M
Occurred
Oct 3, 2023
First Form ADV filing
Stifel Capital Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ed17967b-5ac9-6195-48dc-b99f6f7dca8d
First observed: Oct 3, 2023
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

STIFEL CAPITAL MANAGEMENT, LLC

CRD 328365

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ed17967b-5ac9-6195-48dc-b99f6f7dca8d

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:11 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ADAM VARTAN TOPALIAN

n/a

NEW YORK, NY

yes

Matthew T Zarrella

n/a

NEW YORK, NY

n/a

yes

JOHN POCCESCHI

n/a

Princeton Junction, NJ

MICHAEL JOSEPH SMITH

n/a

Princeton Junction, NJ

Bailey Harris Morganlander

n/a

NEW YORK, NY

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Perez, Cynthia, Teresa

CHIEF OPERATING OFFICER

yes

09/2023

Oct 3, 2023

Nov 20, 2024

Spero, Michael, Alexander

CHIEF COMPLIANCE OFFICER

yes

09/2023

Oct 3, 2023

Nov 20, 2024

Stein, Avi

CHIEF FINANCIAL OFFICER

yes

09/2023

Oct 3, 2023

Nov 20, 2024

STIFEL FINANCIAL CORP

Shareholder

yes

09/2023

Oct 3, 2023

Nov 20, 2024

TOPALIAN, ADAM, VARTAN

CHIEF INVESTMENT OFFICER

yes

09/2023

Oct 3, 2023

Nov 20, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

STIFEL, NICOLAUS & COMPANY, INCORPORATED

n/a

National bd RIA

$198B

yes

1919 INVESTMENT COUNSEL, LLC

n/a

Independent wealth

$26B

yes

n/a

STIFEL INDEPENDENT ADVISORS, LLC

n/a

Bd affiliated wealth

$5.0B

yes

n/a

WASHINGTON CROSSING ADVISORS LLC

n/a

Independent wealth

$2.0B

yes

n/a

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

n/a

Independent wealth

$221M

yes

n/a

INTYCE, LLC

n/a

No RAUM reported

yes

n/a

CSA INSURANCE AGENCY INCORPORATED

n/a

yes

n/a

EATON PARTNERS (UK) LLP

n/a

yes

n/a

KEEFE, BRUYETTE & WOODS, INC.

n/a

yes

n/a

STIFEL ACCESS SERVICES LLC

n/a

yes

n/a

STIFEL BANK & TRUST, NATIONAL ASSOCIATION

n/a

yes

n/a

STIFEL BANK, NATIONAL ASSOCIATION

n/a

yes

n/a

STIFEL EUROPE BANK AG

n/a

yes

n/a

STIFEL HONG KONG LIMITED

n/a

yes

n/a

STIFEL NICOLAUS CANADA INC.

n/a

yes

n/a

STIFEL NICOLAUS EUROPE LIMITED

n/a

yes

n/a

STIFEL NICOLAUS INSURANCE AGENCY INCORPORATED

n/a

yes

n/a

STIFEL NICOLAUS ISRAEL LTD.

n/a

yes

n/a

STIFEL SCHWEIZ AG

n/a

yes

n/a

STIFEL TRUST COMPANY DELAWARE, NATIONAL ASSOCIATION

n/a

yes

n/a

STIFEL TRUST COMPANY, NATIONAL ASSOCIATION

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$4.2B

n/a

2024

Mar 28, 2025

$1.5B

n/a

2023

Mar 28, 2024

$745M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$4.2B

$1.5B

182.3%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SPRING MOUNTAIN CAPITAL, LP

Feb 13, 2026

Feb 11, 2026

WEST WINDSOR, NJ

Team lift out

Other

100.0%