DFX Intelligence
Private Equity Intelligence
Firms, funds, people, portfolio companies and transactions from sworn filings and cited announcements, kept as a graph with a date and a source on every edge. Reported gross assets are never fund size, regulatory AUM is never dry powder, and a deal value prints only when someone disclosed it.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Firms / T••••• W••••• G••••• G••••• P••••••• L••
T••••• W••••• G••••• G••••• P••••••• L••
Stifel is a full service brokerage and investment banking firm. The Company provides securities brokerage, investment banking, trading, investment advisory, and related financial services to individual investors, professional money managers, businesses, and municipalities.
Classification
- Class
- Fund of fundsprobable, confidence 75%
- Basis
- R1: 8 of 8 admitted vehicles carry the sworn fund-of-funds flag
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (1)
- Sep 13, 2026Fund of funds (probable, 75%, cls-pe-1)R1: 8 of 8 admitted vehicles carry the sworn fund-of-funds flag
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 30, 2012 to Jul 6, 2018
- RAUM
- $304Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 0
- PE fund GAV, latest filing
- unknownreported gross assets (Form ADV), not fund size
- All private fund GAV
- $305Mevery private fund type, latest filing
- 2024 PE fund GAV
- unknownsum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 50%
- Fund type mix
- filed 2018-07-06, latest gav Venture Capital Fund $305M, latest counts Venture Capital Fund 5, lifetime distinct Private Equity Fund 5, Venture Capital Fund 5
- Employees
- 10
- Headquarters
- San Francisco, CA
- Office address
- ONE MONTGOMERY STREET, SUITE 3700, San Francisco, CA, 94104
- Business phone
- 415-364-2500
Stated criteria beside observed behaviour
no observed deals yet
Stated by the firm
- Sectors
- not stated or not yet read
- Geography
- not stated or not yet read
- Revenue
- not stated or not yet read
- EBITDA
- not stated or not yet read
- Enterprise value
- not stated or not yet read
- Equity check
- not stated or not yet read
- Control
- not stated or not yet read
- Thesis
- We seek to reward hard-working team players that devote their energy and attention to client needs.
Observed from deals on record
Nothing observed yet. Behaviour is computed from transactions and portfolio relationships, which have not been collected for this firm.
Funds
8 on record, 2 more on the reporting tape
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| T•••• • R•••• L••• ADV: Private Equity Fund | Fund of funds | 2014 first reported on Form ADV | $1.2M as of Aug 24, 2015 | no Form D | Wound down | |
| T•••• I• •• • R••••• •••••••• L••• ADV: Private Equity Fund | Fund of funds | 2014 first reported on Form ADV | $12,965 as of Aug 24, 2015 | no Form D | Wound down | |
| T•••• • R••• •••••••• L••• ADV: Private Equity Fund | Fund of funds | 2014 first reported on Form ADV | $0 as of Aug 24, 2015 | no Form D | Wound down | |
| T••••••• S••••••• L••• ADV: Venture Capital Fund | Fund of funds | unknown | $202M as of Jul 6, 2018 | no Form D | Mature | |
| H••••••••• L••• ADV: Venture Capital Fund | Fund of funds | unknown | $49.5M as of Jul 6, 2018 | no Form D | Harvest | |
| T••••• W••••• G••••• G••••• P••••••• I••• L••• ADV: Venture Capital Fund | Fund of funds | unknown | $27.8M as of Jul 6, 2018 | no Form D | Harvest | |
| T••••• W••••• G••••• G••••• P••••••• I• ••• L••• ADV: Venture Capital Fund | Fund of funds | unknown | $18.8M as of Jul 6, 2018 | no Form D | Harvest | |
| T••••• W••••• G••••• G••••• P••••••• I• P••••••• ••• L••• ADV: Venture Capital Fund | Fund of funds | unknown | $7.0M as of Jul 6, 2018 | no Form D | Harvest |
Gross assets by year from the annual reporting tape
These funds appear in this adviser’s Form ADV reporting. One row per fund per year (the latest filing of that year). Values are reported gross assets, not fund size.
| Fund | Type (ADV) | Years | Path | Latest reported GAV | Source |
|---|---|---|---|---|---|
| T•••• I• •• • R•••••• L••• | Private Equity Fund | 2012 to 2015 | $61.8M filed Aug 24, 2015 | adviserinfo.sec.gov | |
| T••••• W••••• G••••• G••••• P••••••• I• •• | Private Equity Fund | 2012 to 2015 | $56.0M filed Aug 24, 2015 | adviserinfo.sec.gov |
Team
5 current, 7 former
Managing partner (1)
- S•••• A•••• R•••••• · President · since Mar 1, 2014 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (4)
- C•••••• P•••• · Chief Operating Officer · since Jan 1, 2007 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- E•••••••• A••• W•••••• · Chief Compliance Officer · since Apr 1, 2014 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M•••••• C••••••• C•••• · Chief Legal Officer · since Jan 1, 2015 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- R•••• M•••• A••••• · Chief Financial Officer · since May 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
7 former (kept with end dates)
- M••• P••••• F••••• · Chief Legal Officer · Mar 1, 2007 to Mar 17, 2015 Inference
- M•••••• S•••••• M•••••• · Chief Compliance Officer · Mar 1, 2014 to Apr 28, 2014 Inference
- M•••••• J•••• D•••••• · Chief Financial Officer · Jul 1, 2012 to Oct 15, 2012 Inference
- M••••••• M••••••• C•••••• · Cfo · Nov 1, 2012 to May 27, 2016 Inference
- P•••• R•••••• G•••••• · Chief Compliance Officer · Sep 1, 2012 to May 13, 2013 Inference
- R••• S•••••••• K•••••• · Chief Compliance Officer · May 1, 2013 to Mar 31, 2014 Inference
- S••••• S•••••• S•••••• · Chief Financial Officer · Apr 1, 2008 to Jul 12, 2012 Inference
Portfolio
0 relationships, 0 platforms, 0 add-ons
No portfolio relationship collected for this firm yet. They arrive from the firm’s portfolio page, deal announcements and filings.
Transactions
0 on record
No transaction naming this firm has been collected yet. The deal tape is read from SEC filings and cited announcements.
Placement agents, lenders, advisers and co-investors
0 relationships
No counterparty collected yet. These are counted from transactions that name both this firm and the other party, and from placement agents on this firm’s funds.
LP commitments
0 disclosed
No LP commitment collected yet. An LP edge needs a public disclosure with a quote, such as a pension plan’s report or an announcement naming the LP.
Events
60 most recent
- Sep 1, 2026Adviser CRD 120446 is not on the SEC registered or exempt adviser roster of 2026-09-01
- Jan 15, 2026FORBES NAMES 101 STIFEL TEAMS TO BEST-IN-STATE WEALTH MANAGEMENT TEAMS LIST
- Jun 11, 2025STIFEL ANNOUNCES VICTOR NESI TO RETIRE AS CO-PRESIDENT AND HEAD OF INSTITUTIONAL GROUP; JOINS BOARD OF DIRECTORS
- Jun 2, 2025STIFEL COMPLETES ACQUISITION OF BRYAN GARNIER
- Apr 8, 2025STIFEL COMPLETES ACQUISITION OF B. RILEY EMPLOYEE ADVISORS
- Mar 10, 2025STIFEL APPOINTS JONATHAN SIEGMANN AS MANAGING DIRECTOR COVERING AEROSPACE AND DEFENSE SECTOR
- Jan 6, 2025STIFEL ANNOUNCES ACQUISITION OF BRYAN, GARNIER & CO.
- Nov 18, 2024BRAD EDGAR JOINS STIFEL AS MANAGING DIRECTOR AND LEAD HEALTHCARE EQUITY TRADER
- Aug 1, 2024STIFEL CLOSES ACQUISITION OF CB RESOURCE AND FINANCE 500
- May 28, 2024STIFEL AND MAREX ANNOUNCE PRIME BROKERAGE REFERRAL PARTNERSHIP
- Mar 14, 2024STIFEL TO ACQUIRE FINANCE 500 AND CB RESOURCE
- Jan 9, 2024FORBES NAMES 39 STIFEL TEAMS TO BEST-IN-STATE WEALTH MANAGEMENT TEAMS LIST
- Oct 4, 2023STIFEL ENHANCES OPTIONS AND EQUITY DERIVATIVES OFFERING WITH KEY NEW HIRES
- Apr 26, 2023STIFEL APPOINTS MARYAM BROWN AND LISA CARNOY TO BOARD OF DIRECTORS
- Mar 29, 2023STIFEL EXPANDS PARTNERSHIP WITH U.S. SKI & SNOWBOARD TO INCLUDE NAMING RIGHTS OF STIFEL U.S. SKI TEAM
- Mar 1, 2023STIFEL CLOSES ACQUISITION OF TORREYA PARTNERS
- Jan 31, 2023EATON PARTNERS ACTS AS EXCLUSIVE PLACEMENT AGENT FOR SKY LEASING FUND V
- Jan 23, 2023EATON PARTNERS ACTS AS EXCLUSIVE PLACEMENT AGENT FOR STERLING INVESTMENT PARTNERS IV, L.P.
- Jan 12, 2023FORBES NAMES THREE STIFEL TEAMS TO BEST-IN-STATE WEALTH MANAGEMENT TEAMS LIST
- Dec 22, 2022STIFEL TO ACQUIRE TORREYA PARTNERS; SOLIDIFIES LEADERSHIP IN HEALTHCARE SECTOR
- Nov 30, 2022EATON PARTNERS HIRES CHARLES KORCHINSKI TO OVERSEE NEW GP STAKES ADVISORY BUSINESS
- Oct 28, 2022STIFEL AND U.S. SKI & SNOWBOARD ANNOUNCE NEW PARTNERSHIP; TITLE SPONSORSHIP OF U.S. ALPINE SKI TEAM
- Oct 26, 2022CATLETT/GODIN WEALTH MANAGEMENT JOINS STIFEL IN WILMINGTON
- Oct 6, 2022DICK FERGUSON JOINS PCG EXECUTIVE TEAM; FERGUSON WEALTH ADVISORY GROUP OPENS NEW OFFICE IN ATHENS
- Sep 27, 2022STIFEL AND KOREA INVESTMENT & SECURITIES FORM JOINT VENTURE
- Sep 15, 2022NEW STIFEL & EATON PARTNERS SURVEY FINDS INVESTORS INCREASING INVESTMENT DOLLAR ALLOCATIONS TO GP-LED SECONDARY TRANSACTIONS
- Aug 23, 2022DAYBREAK FINANCIAL GROUP JOINS STIFEL IN NEW YORK CITY
- Aug 9, 2022STIFEL APPOINTS JIM KAVANAUGH TO BOARD OF DIRECTORS
- Aug 3, 2022EATON PARTNERS ACTS AS EXCLUSIVE PLACEMENT AGENT FOR TURNING ROCK PARTNERS FUND II
- Aug 2, 2022EATON PARTNERS ACTS AS PLACEMENT AGENT FOR ASSURED HEALTHCARE PARTNERS FUND II
- Aug 1, 2022THE POWER WEALTH MANAGEMENT TEAM JOINS STIFEL IN FRONTENAC
- Jul 19, 2022RUBEN ROY JOINS STIFEL AS MANAGING DIRECTOR AND EQUITY RESEARCH ANALYST COVERING APPLIED TECHNOLOGY SECTOR
- Jul 1, 2022STIFEL COMPLETES ACQUISITION OF ACXIT CAPITAL PARTNERS
- Jun 7, 2022STIFEL EXTENDS EUROPEAN FOOTPRINT WITH ACQUISITION OF GERMANY’S ACXIT CAPITAL PARTNERS
- May 16, 2022EATON PARTNERS ACTS AS EXCLUSIVE PLACEMENT AGENT FOR NOVAQUEST PRIVATE EQUITY FUND II
- Nov 30, 2021EATON PARTNERS APPOINTS JONATHAN LEE AS HEAD OF ASIA PACIFIC
- Nov 1, 2021S••••• F•••••••• C•••. COMPLETES ACQUISITION OF VINING SPARKS
- Oct 19, 2021STIFEL HIRES MARK KELLEY AS MANAGING DIRECTOR AND SENIOR ANALYST COVERING INTERNET SECTOR
- Sep 29, 2021STIFEL TO ACQUIRE VINING SPARKS
- Sep 23, 2021STIFEL HIRES ED RIBAUDO AS MANAGING DIRECTOR AND HEAD OF LEVERAGED FINANCE CAPITAL MARKETS
- Sep 14, 2021STIFEL NAMES DAVID RUBULOTTA AND BRANT MCDUFFIE DEPUTY CO-HEADS OF FIXED INCOME CAPITAL MARKETS
- Aug 24, 2021STIFEL INDEPENDENT ADVISORS HIRES ROBERT WELCH AS DIRECTOR, REGIONAL RECRUITING
- Jul 13, 2021EATON SERVES AS PLACEMENT AGENT FOR LYRIC'S ACQUISITION OF PREMIER MUSIC CATALOG
- Jun 15, 2021STIFEL HIRES CHARLIE SMITH AS MANAGING DIRECTOR IN VENTURE AND FUND BANKING GROUP
- Jun 7, 2021KBW NAMES MATTHEW KELLEY DIRECTOR OF RESEARCH
- May 6, 2021EATON PARTNERS ACTS AS EXCLUSIVE PLACEMENT AGENT FOR CAIRN REAL ESTATE HOLDINGS’ ACQUISITION OF JP & ASSOCIATES REALTORS AND JPAR FRANCHISING
- May 3, 2021STIFEL FINANCIAL HIRES BENJAMIN OLA. AKANDE AS DIRECTOR OF HUMAN RESOURCES, DIVERSITY AND INCLUSION
- Apr 14, 2021EATON PARTNERS SURVEY FINDS INVESTOR APPETITE & BUDGET FOR ADDITIONAL PRIVATE MARKET INVESTMENTS
- Feb 19, 2021STIFEL FINANCIAL ACQUIRES NORTH ATLANTIC CAPITAL’S FUTURE VENTURE INVESTMENT BUSINESS
- Feb 2, 2021DEBEER, MAY, HANNA WEALTH MANAGEMENT GROUP JOINS STIFEL IN DALLAS
- Feb 2, 2021STIFEL PROMOTES BRIAN DONLIN AND TOM RODERICK TO CO-DIRECTORS OF U.S. EQUITY RESEARCH
- Nov 18, 2020STIFEL NAMES VETERAN FIRE & SECURITY INDUSTRY EXECUTIVE DEAN SEAVERS AS SENIOR ADVISOR
- Oct 5, 2020EATON PARTNERS APPOINTS OPHIR SHMUEL AS CO-HEAD OF EUROPE, THE MIDDLE EAST, AND AFRICA
- Jul 24, 2020KBW NAMES CHRISTOPHER MCGRATTY HEAD OF U.S. BANK RESEARCH
- Jul 14, 2020STIFEL HIRES FORMER PURESTAR CEO DAVID CARPENTER AS SENIOR ADVISOR
- Jun 29, 2020STIFEL HIRES FORMER LKQ CEO ROB WAGMAN AS SENIOR ADVISOR TO AUGMENT INVESTMENT BANKING TEAM
- Jun 9, 2020KEEFE, BRUYETTE & WOODS APPOINTS ANDREW STIMPSON AS HEAD OF EUROPEAN BANKS RESEARCH
- May 5, 2020STIFEL FINANCIAL APPOINTS KATHLEEN BROWN LEAD INDEPENDENT DIRECTOR
- Apr 6, 2020STIFEL NAMED INVESTMENT BANK OF THE YEAR BY MERGERS & ACQUISITIONS MAGAZINE
- Jan 31, 2020STIFEL RANKS AMONG TOP INVESTMENT BANKS IN UK CAPITAL-RAISING MARKET
Across the graphs
T••••• W••••• G••••• G••••• P••••••• L•• is the same institution as 2 records in Venture Capital and RIA and Wealth.
Venture Capital1RIA and Wealth1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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