DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Stifel Capital Management, LLC
Latest filing Mar 31, 2026
First filing on the tape Oct 3, 2023 · 10 filings
SEC status approved since Nov 2, 2023
RAUM
$4.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
17%
$717M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$840M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$4.2B as of Mar 31, 2026
Mar 28, 2024$745M then
HNW client RAUM$594M as of Mar 31, 2026
Mar 28, 2024$97.5M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 28, 20241 then
Employees (5.A)9 as of Mar 31, 2026
Mar 28, 20245 then
Private funds: no history
RAUM +182% over the last fiscal yearIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $840MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $7.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 47%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +182%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$2.0B47%
- Corporations and businesses$1.5B35%
- High-net-worth individuals$594M14%
- Individuals$123M2.9%
- Other investment advisers$53.4M1.3%
- Individual clients
- 257reported
- HNW clients
- 161reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 549reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $1.2B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.17 fund_share=0.01 institutional_share=0.47 related_bd=true related_bank=true bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Adam Vartan Topalian | New York, Ny | Dec 4, 2015 | 43 y | 3 |
| Matthew T Zarrella | New York, Ny | Apr 23, 2024 | 10 y | 0 |
| John Pocceschi | Princeton Junction, Nj | Feb 4, 2026 | 21 y | 8 |
| Michael Joseph Smith | Princeton Junction, Nj | Feb 11, 2026 | 19 y | 2 |
| Bailey Harris Morganlander | New York, Ny | Sep 11, 2026 | 11 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Michael Joseph Smith from Spring Mountain Capital, LPFeb 11, 2026 · Other
- John Pocceschi from Spring Mountain Capital, LPFeb 4, 2026 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Spring Mountain Capital, LPFeb 13, 2026 · West Windsor, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Teresa Cynthia Perez · Chief Operating Officercontrolsince 09/2023 · owns less than 5%
- Alexander Michael Spero · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- Avi Stein · Chief Financial Officercontrolsince 09/2023 · owns less than 5%
- Vartan Adam Topalian · Chief Investment Officercontrolsince 09/2023 · owns less than 5%
Entity owners
- Stifel Financial Corp · Shareholderdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- 1919 Investment Counsel, LLCinvestment advisernRAUM $26B
- Csa Insurance Agency Incorporatedreal estaten
- Eaton Partners (Uk) Llpbroker-dealern
- Equitycompass Investment Management, LLCinvestment adviserbanknRAUM $221M
- Stifel Wealth Trackerinvestment advisern
- Keefe, Bruyette & Woods, Inc.broker-dealern
- Stifel Access Services LLCpooled vehicle sponsorn
- Stifel Bank & Trust, National Associationn
- Stifel Bank, National Associationn
- Stifel Europe Bank Agbroker-dealern
- Stifel Hong Kong Limitedbroker-dealern
- Stifel Independent Advisors, LLCbroker-dealerinvestment adviserreal estatenRAUM $5.0B
- Stifel Nicolaus Canada Inc.broker-dealern
- Stifel Nicolaus Europe Limitedbroker-dealern
- Stifel Nicolaus Insurance Agency Incorporatedreal estaten
- Stifel Nicolaus Israel Ltd.broker-dealern
- Stifel Schweiz Agbroker-dealern
- Stifel Trust Company Delaware, National Associationn
- Stifel Trust Company, National Associationn
- Stifel, Nicolaus & Company, Incorporatedbroker-dealerinvestment adviserbankpooled vehicle sponsorreal estatecustodiannRAUM $198B
- Washington Crossing Advisors LLCinvestment advisernRAUM $2.0B
Advisers that list Stifel Capital Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 1 | 0 | ||
| Princeton Junction, Nj | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $1,487,893,776 to $4,199,937,688 (+182.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +11.0% (231 comparable advisers, 95.0th percentile of changes)peers: other advisers, $1B to $5B (231) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 78 to 549Feb 13, 2026 to Mar 31, 2026
- Advisory employees · 1 to 5Feb 13, 2026 to Mar 31, 2026
- Corporate clients · 39 to 93Feb 13, 2026 to Mar 31, 2026
- HNW clients · unset to 161.0Feb 13, 2026 to Mar 31, 2026
- Individual clients · unset to 257.0Feb 13, 2026 to Mar 31, 2026
- Employees · 5 to 9Feb 13, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.5B to $4.2BFeb 13, 2026 to Mar 31, 2026
- HNW RAUM · $97.5M to $594MFeb 13, 2026 to Mar 31, 2026
- Individual RAUM · unset to 123341974.0Feb 13, 2026 to Mar 31, 2026
- RAUM · $1.5B to $4.2BFeb 13, 2026 to Mar 31, 2026
- Wrap assets (manager) · $290M to $1.2BFeb 13, 2026 to Mar 31, 2026
- Other offices · 0 to 1Jun 10, 2025 to Feb 13, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jun 10, 2025
- Accounts · 19 to 78Nov 20, 2024 to Mar 28, 2025
- Corporate clients · 10 to 39Nov 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $745M to $1.5BNov 20, 2024 to Mar 28, 2025
- HNW RAUM · $97.5M to $97.5MNov 20, 2024 to Mar 28, 2025
- RAUM · $745M to $1.5BNov 20, 2024 to Mar 28, 2025
- Wrap assets (manager) · $339M to $290MNov 20, 2024 to Mar 28, 2025
- Accounts · 3 to 19Mar 1, 2024 to Mar 28, 2024
- Corporate clients · unset to 10.0Mar 1, 2024 to Mar 28, 2024
- Discretionary RAUM · $105M to $745MMar 1, 2024 to Mar 28, 2024
- HNW RAUM · $96.0M to $97.5MMar 1, 2024 to Mar 28, 2024
- RAUM · $105M to $745MMar 1, 2024 to Mar 28, 2024
- Wrap assets (manager) · $105M to $339MMar 1, 2024 to Mar 28, 2024
- Accounts · 0 to 3Feb 20, 2024 to Mar 1, 2024
- Employees · 4 to 5Feb 20, 2024 to Mar 1, 2024
- Discretionary RAUM · $0 to $105MFeb 20, 2024 to Mar 1, 2024
- HNW RAUM · unset to 96000000.0Feb 20, 2024 to Mar 1, 2024
- RAUM · $0 to $105MFeb 20, 2024 to Mar 1, 2024
- Wrap assets (manager) · unset to 105154076.0Feb 20, 2024 to Mar 1, 2024
- Wrap assets (sponsor) · unset to 0.0Feb 20, 2024 to Mar 1, 2024
Signals
5 dated events
- Stifel Capital Management, Llc reported RAUM $4.2B, up 182% from $1.5B (2026-02-13 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- 2 advisors left Spring Mountain Capital, LP (West Windsor, NJ) for Stifel Capital Management, LLC on the same dayFeb 13, 2026 · Team lift-out · derived
- Stifel Capital Management, Llc reported RAUM $1.5B, up 100% from $745.4M (2024-11-20 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Stifel Capital Management, Llc reported RAUM $745.4M, up 609% from $105.2M (2024-03-01 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Stifel Capital Management, Llc filed its initial SEC registration (Form ADV)Oct 3, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- stifelcapitalmanagement.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-328-1000reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $840Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026