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, Nicolaus & Company, Incorporated

National broker-dealer RIASt Louis, MissouriCRD 793SEC 801-10746website IAPD

Latest filing Sep 15, 2026

First filing on the tape Dec 13, 2011 · 298 filings

SEC status approved since May 7, 1975

RAUM

$198B

reported, Item 5.F

Discretionary

64%

of RAUM

Private clients

90%

$178B individuals and HNW

Advisors

3,340

registered through the firm on IAPD

RAUM per advisor

$59.1M

derived; firm RAUM over IAPD count

Employees

6,478

3,079 advisory (5.B.1)

Offices

517

beyond the principal office

Private funds

reported on Schedule D

History

298 filings and snapshots on the tape

RAUM$198B as of Aug 31, 2026

Mar 30, 2012$16B then

HNW client RAUM$137B as of Aug 31, 2026

Mar 29, 2018$49B then

State-registered IARs (5.B.3)3,388 as of Aug 31, 2026

Apr 1, 20132,164 then

Employees (5.A)6,478 as of Aug 31, 2026

Apr 1, 20135,059 then

Private funds22 as of Aug 31, 2026

Mar 30, 201214 then

RAUM +15% over the last fiscal year+14% a year over threeIARs 3,301 to 3,388offices 486 to 517

Practice profile

derived from the filing of Sep 15, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $59.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 69derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.9MderivedHNW RAUM over HNW clients
Average account: $501,147derivedRAUM over accounts (5.F.2.f)
Discretionary: 64%derivedof RAUM
Institutional: 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.9derivedItem 5.A over advisors
Advisors per office: 6.5derived518 offices incl. principal (1.F.5)
RAUM growth, one year: +15%derivedbetween the last two annual amendments
Advisor growth, one year: +2.6%derivedItem 5.B.3 between annual amendments
Client growth, one year: +6.3%derived
Compensation: percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program: $197BreportedItem 5.I
Custody: $176B, 234,425 clientsreportedItem 9.A
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

is a broker-dealer (6.A.1)
is an insurance broker or agent (6.A.6)
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)
the adviser acts as qualified custodian (9.D.1)
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

High-net-worth individuals$137B70%
Individuals$41B21%
Corporations and businesses$6.2B3.1%
Charitable organizations$5.3B2.7%
Banks and thrifts$2.7B1.4%
Pension and profit-sharing plans$2.6B1.3%
State and municipal entities$1.8B0.9%
Pooled investment vehicles$367M0.2%
Sovereign wealth funds$135M0.1%
Insurance companies$31.5M0.0%

Individual clients: 156,989reported
HNW clients: 73,687reported
Pension plan clients: 1,481reported
Charitable clients: 1,426reported
Accounts: 394,160reported
Financial planning clients: 11-25reported
Wrap fee programs: $125B sponsored, $0 managedreported
Custody of client assets: $176B for 234,425 clientsreported
Compensation: % of AUM, fixed, commissionsreported
Class basis: curated national broker-dealer listderived

Advisors registered through the firm

3,331 on IAPD today, longest tenure first

Name	Branch	Here since	In industry
Jeffrey Wayne Brummet	Springfield, Mo	Oct 31, 1995	45 y
William Andrew Fleming	Columbia, Mo	Oct 31, 1995	34 y
John Hoff Russell	Clayton, Mo	Oct 31, 1995	45 y
James Kenneth Schuman	Clayton, Mo	Oct 31, 1995	46 y
Steven Lee Goldberg	Clayton, Mo	Oct 31, 1995	32 y
Stephen Solon Wasserman	Clayton, Mo	Oct 31, 1995	43 y
Robert James StockdaleCertified Financial Planner	O'Fallon, Mo	Oct 31, 1995	33 y
Paul Treuman Putzel	Clayton, Mo	Oct 31, 1995	36 y
Sean London Rosenthal	Clayton, Mo	Oct 31, 1995	32 y
Paul Scott Carothers	Frontenac, Mo	Oct 31, 1995	37 y
Duane Keith Thomas	Clayton, Mo	Oct 31, 1995	40 y
John Melvin Surgant	Frontenac, Mo	Oct 31, 1995	44 y
Mark Edward Riordan	O'Fallon, Mo	Oct 31, 1995	40 y
Mark Pendleton Goddard	Clayton, Mo	Oct 31, 1995	40 y
Edward Joseph Flesch	Decatur, Il	Jan 2, 1998	45 y
James Richard Livasy	Decatur, Il	Jan 2, 1998	42 y
Todd Allen Rinderer	Marco Island, Fl	Jan 12, 1998	38 y
Peter James Nazos	Chicago, Il	Feb 13, 1998	35 y
Gerald William Wunderlich	Alton, Il	Sep 21, 1998	43 y
Jeffrey Scott Luedke	Sarasota, Fl	Sep 23, 1998	44 y
Gregory Clay Barron	Overland Park, Ks	Feb 15, 1999	44 y
Brian Thomas Dunn	Frontenac, Mo	Feb 26, 1999	39 y
James Byron Estes	Clayton, Mo	Feb 26, 1999	31 y
Kerry Lee Auer	Clayton, Mo	Feb 26, 1999	36 y
Steven Michael Levin	Clayton, Mo	Feb 26, 1999	34 y
Mark Douglas Nuelle	St Louis, Mo	Feb 26, 1999	38 y
Jason Tyler Becker	Lake Ozark, Mo	Feb 26, 1999	29 y
Timothy James Clark	Clayton, Mo	Feb 26, 1999	34 y
John David Rosenthal	Clayton, Mo	Feb 26, 1999	32 y
Larry Rust Toole	Kansas City, Mo	Feb 26, 1999	40 y
Ellen Joy Liss	Clayton, Mo	Feb 26, 1999	29 y
Keith Roger Thompson	Clayton, Mo	Feb 26, 1999	30 y
David Joseph Schulte	Clayton, Mo	Feb 26, 1999	39 y
David Stuart Weiss	Clayton, Mo	Jun 28, 1999	27 y
William Robert Mielke	Green Bay, Wi	Dec 30, 1999	42 y
Michael Charles Purdy	Lake Forest, Il	Jan 2, 2000	41 y
Aimee Elizabeth Jacobs	Portsmouth, Nh	Jan 3, 2000	29 y
Anthony Connor Shanley	Jefferson City, Mo	Jan 3, 2000	27 y
Michael Robert Petri	Overland Park, Ks	Jan 3, 2000	33 y
Kurt Frank Schlemitz	Dublin, Oh	Mar 23, 2000	41 y

All 3,331 advisors at Stifel, Nicolaus & Company, Incorporated

Advisor movement

109 left, 79 joined in 12 months

net -30 in 12 months26 left in 90 days25 joined in 90 daysdeparture rate 3.3% of current headcount305 left over 36 months

Left, latest

Edward Robert Phillipp to Rockefeller Capital Management
Sep 10, 2026 · Affiliated broker-dealer or bank to another
Laura Bienz to Rockefeller Capital Management
Sep 10, 2026 · Affiliated broker-dealer or bank to another
Michelle Colquhoun to Rockefeller Capital Management
Sep 10, 2026 · Affiliated broker-dealer or bank to another
Patrick Edward Phillipp to Rockefeller Capital Management
Sep 10, 2026 · Affiliated broker-dealer or bank to another
Rebecca Marie Hellman to Raymond James & Associates, Inc.
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Jon Randall Garberg to Raymond James & Associates, Inc.
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Jeanine Marie Gaston to Raymond James & Associates, Inc.
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Howard Louis Margolis to Raymond James & Associates, Inc.
Aug 19, 2026 · Affiliated broker-dealer or bank to another
David Richard Milling to LPL Financial LLC
Aug 12, 2026 · Affiliated broker-dealer or bank to another
Matthew Ruzicka to Edward Jones
Aug 5, 2026 · Affiliated broker-dealer or bank to another
Daniel Brown to Moneta Group Investment Advisors, LLC
Aug 5, 2026 · Affiliated broker-dealer or bank to independent RIA
Donald Hite Kinsey to RBC Capital Markets, LLC
Jul 29, 2026 · Affiliated broker-dealer or bank to another
Eddie Ramirez to Wells Fargo Advisors
Jul 29, 2026 · Affiliated broker-dealer or bank to wirehouse
Shawn James Ezzo to RBC Capital Markets, LLC
Jul 29, 2026 · Affiliated broker-dealer or bank to another
Matthew Joseph Pickett to RBC Capital Markets, LLC
Jul 29, 2026 · Affiliated broker-dealer or bank to another

Joined, latest

Matthew B Case from Advice And Planning Services
Sep 15, 2026 · Affiliated broker-dealer or bank to another
Andrew Christensen from Lido
Sep 11, 2026 · RIA to affiliated broker-dealer or bank
Evan S Brooks from Raymond James & Associates, Inc.
Sep 8, 2026 · Affiliated broker-dealer or bank to another
Dennis Koleda from Family Manage LLC
Sep 8, 2026 · RIA to affiliated broker-dealer or bank
Richard John Radmann from Strategic Advisers LLC
Sep 8, 2026 · Affiliated broker-dealer or bank to another
Blake Montarsi from Ameriprise Financial Services, LLC
Sep 1, 2026 · Affiliated broker-dealer or bank to another
Kodiak M Simpson from Neuberger Berman Bd LLC
Sep 1, 2026 · Other
Ashlee M Sargent from Morgan Stanley
Sep 1, 2026 · Wirehouse to affiliated broker-dealer or bank
Josh Pearlman from Brookfield Management Group, LLC
Aug 26, 2026 · Other
Crystal Lynn Broadus from LPL Financial LLC
Aug 25, 2026 · Affiliated broker-dealer or bank to another
Colleen Margaret Kusy from Robert W. Baird & Co. Incorporated
Aug 25, 2026 · RIA to affiliated broker-dealer or bank
David Robert Golson from Wells Fargo Advisors
Aug 24, 2026 · Wirehouse to affiliated broker-dealer or bank
Zachary Ross Thurston from Stifel Independent Advisors, LLC
Aug 24, 2026 · Affiliated broker-dealer or bank to another
Gregg Albert Libutti from Lincoln Investment
Aug 17, 2026 · RIA to affiliated broker-dealer or bank
David Thomas Curley from Raymond James & Associates, Inc.
Aug 13, 2026 · Affiliated broker-dealer or bank to another

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for Rockefeller Capital Management
Sep 10, 2026 · St Louis, Mo
3 left for Raymond James & Associates, Inc.
Sep 2, 2026 · Bellevue, Wa
4 left for RBC Capital Markets, LLC
Jul 29, 2026 · Dallas, Tx
2 left for RBC Capital Markets, LLC
Jul 8, 2026 · Covington, Ky
2 left for Benjamin F. Edwards & Company, Incorporated
Jun 10, 2026 · Redding, Ca
3 left for Newedge Advisors
Jun 10, 2026 · Janesville, Wi
2 left for William Blair & Company L.L.C.
Jun 9, 2026 · Dublin, Oh
3 left for Raymond James & Associates, Inc.
May 20, 2026 · Lafayette, In

2 joined from Morgan Stanley
Jun 9, 2026 · Forsyth, Il
2 joined from Ameriprise Financial Services, LLC
Mar 5, 2026 · East Sandwich, Ma
2 joined from Raymond James & Associates, Inc.
Feb 27, 2026 · Cullman, Al
2 joined from Stifel Independent Advisors, LLC
Jan 29, 2026 · Clayton, Mo
2 joined from Janney Montgomery Scott LLC
Nov 17, 2025 · Garden City, Ny
2 joined from UBS Financial Services Inc.
Sep 29, 2025 · Tolar, Tx
2 joined from Truist Advisory Services, Inc.
Sep 17, 2025 · St Simons, Ga
2 joined from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Sep 3, 2025 · New York, Ny

Teams out Teams in

Private funds

34 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Rc IV LLC	Other Private Fund	$53.3M	59	Mar 30, 2016
Kcp Liberty City Ventures LP	Other Private Fund	$28.3M	75	Mar 31, 2022
Kcp Bridge 33 Fund LP	Other Private Fund	$21.8M	47	Sep 22, 2020
Leg IV And Opportunities Fund, LLC	Other Private Fund	$21.2M	39	Mar 29, 2019
Rc V, LLC	Other Private Fund	$14.7M	20	Mar 29, 2019
Kcp Finback LP	Other Private Fund	$14.0M	32	Mar 31, 2022
Kcp Seaside Equity Fund LP	Other Private Fund	$13.0M	40	Mar 31, 2022
Kcp North Branch Fund LP	Other Private Fund	$12.3M	33	Sep 22, 2020
Kcp Valiant Peregrine Fund LP	Other Private Fund	$11.1M	19	Sep 22, 2020
Leg II, LLC	Other Private Fund	$10.7M	36	Mar 31, 2014
Opportunistic Real Estate Fund, LLC	Other Private Fund	$10.5M	39	Mar 29, 2018
Kcp Accolade Fund LP	Other Private Fund	$9.3M	27	Mar 31, 2022
International Select Investments LLC	Other Private Fund	$9.2M	96	Mar 13, 2012
Mp Concentrated Fund I	Other Private Fund	$7.8M	23	Mar 13, 2012
Kcp Access Fund LP	Other Private Fund	$6.7M	11	Mar 31, 2021
Cardinal Advisor Series-Local Currency Emerging Market Debt Master Fund L.P.no longer reported	Other Private Fund	$6.4M	15	Mar 15, 2012
Real Estate Recovery Fund LLC	Other Private Fund	$5.3M	41	Mar 13, 2012
Value Real Estate Investments LLCno longer reported	Other Private Fund	$4.9M	27	Mar 13, 2012
Stifel Access (Law Finance Group)LP	Venture Capital Fund	$4.6M	27	Mar 31, 2022
Kcp Gs II LP	Other Private Fund	$3.1M	26	Mar 31, 2023
Ei Fund II LLC	Other Private Fund	$3.0M	25	Mar 13, 2012
Kcp Interlock Equity Fund LP	Other Private Fund	$2.7M	10	Mar 31, 2022
Kcp Valiant Peregrine Fund II	Other Private Fund	$2.5M	27	Mar 31, 2022
Diversified Inflation Protection Fundno longer reported	Other Private Fund	$2.4M	25	Mar 13, 2012
Kcp Greenoaks V LP	Other Private Fund	$1.9M	39	Mar 31, 2023
Kc Partners Investment Fund LPno longer reported	Other Private Fund	$775,486	74	Mar 13, 2012
Distressed Opportunities Fund II LLCno longer reported	Other Private Fund	$569,159	55	Mar 13, 2012
Real Assets LLCno longer reported	Other Private Fund	$478,527	10	Mar 13, 2012
Mc Holdings II LLCno longer reported	Private Equity Fund	$337,217	49	Mar 13, 2012
Distressed Opportunities Fund LLCno longer reported	Other Private Fund	$263,605	54	Mar 13, 2012
Kcp Bridge33 III LP	Other Private Fund	$182,099	40	Mar 31, 2023
Bc Holdings LLCno longer reported	Private Equity Fund	$56,872	20	Mar 13, 2012
Ei Fund I LLCno longer reported	Private Equity Fund	$858	10	Mar 13, 2012
Mc Holdings I LLCno longer reported	Private Equity Fund	$0	0	Mar 13, 2012

Owners and control persons

Schedule A and B, latest filing

Ronald James Kruszewski · President, Chief Executive Office & Chairman Of The Boardcontrol
since 08/2002 · owns less than 5%
Victor John Nesi · Executive Vice President & Directorcontrol
since 06/2018 · owns less than 5%
Frederick Richard Schrick · Principal Financial Officercontrol
since 08/2017 · owns less than 5%
James Mark Zemlyak · Executive Vice President & Directorcontrol
since 08/2002 · owns less than 5%
Paul Joseph Ayd · Chief Compliance Officer - Capital Markets
since 05/2015 · owns less than 5%
Geoffrey Clyde Jr Bright · Chief Compliance Officer - Private Client Group
since 02/2024 · owns less than 5%
Patrick Rodgers Brooks · Rosfp - Capital Markets
since 05/2009 · owns less than 5%
Charles Edward Dodson · Cco Advisory Services
since 01/2022 · owns less than 5%
Mark Philip Fisher · General Counsel, Secretary
since 06/2014 · owns less than 5%
Gina Elizabeth Hyde · Chief Compliance Officer - Capital Markets
since 08/2016 · owns less than 5%
Adam Scott Melinger · Rosfp - Pcg
since 08/2019 · owns less than 5%
Douglas Wayne Noll · Principal Operations Officer
since 06/1995 · owns less than 5%
David Dean Sliney · Senior Vice President & Director
since 07/2020 · owns less than 5%

Entity owners

Stifel Financial Corp. · Shareholder
direct · owns 75% or more · public reporting company

Related persons

Schedule D 7.A

1919 Investment Counsel, LLC
investment adviserbanknRAUM $26B
Csa Insurance Agency Incorporated
real estaten
Eaton Partners (Uk) Llp
broker-dealern
Equitycompass Investment Management, LLC
investment adviserbanknRAUM $221M
Stifel Wealth Tracker
investment advisern
Kcp Fund General Partner LLC
pooled vehicle sponsory
Keefe, Bruyette & Woods, Inc.
broker-dealern
Stifel Access Services LLC
pooled vehicle sponsorn
Stifel Bank & Trust, National Association
custodiann
Stifel Bank, National Association
custodiann
Stifel Capital Management, LLC
investment advisernRAUM $4.2B
Stifel Europe Bank Ag
broker-dealern
Stifel Hong Kong Limited
broker-dealern
Stifel Independent Advisors, LLC
broker-dealerinvestment adviserreal estatenRAUM $5.0B
Stifel Nicolaus Canada Inc.
broker-dealern
Stifel Nicolaus Europe Limited
broker-dealern
Stifel Nicolaus Insurance Agency Incorporated
real estaten
Stifel Nicolaus Israel Ltd.
broker-dealery
Stifel Schweiz Ag
broker-dealern
Stifel Trust Company Delaware, National Association
custodiann
Stifel Trust Company, National Association
custodiann
Washington Crossing Advisors LLC
investment advisernRAUM $2.0B

Advisers that list Stifel, Nicolaus & Company, Incorporated as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out
St Louis, Mo · principal	253	26	16	1
New York, Ny	140	14	5	1
Frontenac, Mo	65	3	1
Garden City, Ny	54	4	1
Indianapolis, In	54	2	1
Clayton, Mo	51	8	0
Dallas, Tx	45	2	9	2
Chicago, Il	45	4	1
Newport Beach, Ca	45	3	1
San Francisco, Ca	41	3	0
Morristown, Nj	41	1	0
Boston, Ma	38	1	1
Birmingham, Al	32	2	0
Los Angeles, Ca	31	0	1
Bellevue, Wa	30	1	3	1
Canfield, Oh	30	1	0
Montgomery, Al	29	3	0
Conshohocken, Pa	29	3	0
Houston, Tx	28	3	0
Palm Beach Gardens, Fl	28	0	1

All 60 offices

Offices

Schedule D 1.F, the 25 largest

New York, NY168 employees
Garden City, NY70 employees
Florham Park, NJ57 employees
Dallas, TX53 employees
Newport Beach, CA51 employees
Indianapolis, IN51 employees
San Francisco, CA48 employees
Frontenac, MO38 employees
Bellevue, WA38 employees
Clayton, MO37 employees
Los Angeles, CA37 employees
Birmingham, AL34 employees
Crown Point, IN33 employees
Frontenac, MO32 employees
Louisville, KY31 employees
Conshohocken, PA30 employees
Chico, CA29 employees
Chicago, IL28 employees
Center Valley, PA27 employees
Montgomery, AL27 employees
Palm Beach Gardens, FL25 employees
Southfield, MI25 employees
Irvine, CA24 employees
Canfield, OH24 employees
Fairport, NY24 employees

What changed

consecutive filings, newest first

Financial planning clients · 11-25 to 11-25
Aug 31, 2026 to Sep 1, 2026
Private funds · 22 to unset
Aug 31, 2026 to Sep 1, 2026
Succession · false to unset
Aug 31, 2026 to Sep 1, 2026
Accounts · 368,405 to 394,160
Feb 19, 2026 to Mar 31, 2026
Advisory employees · 3,045 to 3,079
Feb 19, 2026 to Mar 31, 2026
BD registered reps · 5,118 to 5,097
Feb 19, 2026 to Mar 31, 2026
Charity clients · 1,367 to 1,426
Feb 19, 2026 to Mar 31, 2026
Corporate clients · 1,905 to 1,967
Feb 19, 2026 to Mar 31, 2026
HNW clients · 63,726 to 73,687
Feb 19, 2026 to Mar 31, 2026
Individual clients · 153,231 to 156,989
Feb 19, 2026 to Mar 31, 2026
Pension plan clients · 1,488 to 1,481
Feb 19, 2026 to Mar 31, 2026
Assets in custody · $149B to $176B
Feb 19, 2026 to Mar 31, 2026
Employees · 6,464 to 6,478
Feb 19, 2026 to Mar 31, 2026
Insurance-licensed employees · 28 to 26
Feb 19, 2026 to Mar 31, 2026
State-registered IARs · 3,301 to 3,388
Feb 19, 2026 to Mar 31, 2026
Other offices · 486 to 517
Feb 19, 2026 to Mar 31, 2026
Private funds · 23 to 22
Feb 19, 2026 to Mar 31, 2026
Discretionary RAUM · $108B to $127B
Feb 19, 2026 to Mar 31, 2026
HNW RAUM · $115B to $137B
Feb 19, 2026 to Mar 31, 2026
Individual RAUM · $38B to $41B
Feb 19, 2026 to Mar 31, 2026
Non-discretionary RAUM · $63B to $71B
Feb 19, 2026 to Mar 31, 2026
Pension RAUM · $2.4B to $2.6B
Feb 19, 2026 to Mar 31, 2026
Pooled vehicle RAUM · $331M to $367M
Feb 19, 2026 to Mar 31, 2026
RAUM · $171B to $198B
Feb 19, 2026 to Mar 31, 2026
Related insurance company · true to false
Feb 19, 2026 to Mar 31, 2026
Wrap assets (sponsor) · $112B to $125B
Feb 19, 2026 to Mar 31, 2026
Financial planning clients · 11-25 to 11-25
May 19, 2025 to Jun 30, 2025
Accounts · 348,524 to 368,405
Jan 2, 2025 to Apr 17, 2025
Advisory employees · 3,027 to 3,045
Jan 2, 2025 to Apr 17, 2025
BD registered reps · 5,160 to 5,118
Jan 2, 2025 to Apr 17, 2025
Charity clients · 1,324 to 1,367
Jan 2, 2025 to Apr 17, 2025
Corporate clients · 1,868 to 1,905
Jan 2, 2025 to Apr 17, 2025
HNW clients · 55,911 to 63,726
Jan 2, 2025 to Apr 17, 2025
Individual clients · 150,617 to 153,231
Jan 2, 2025 to Apr 17, 2025
Pension plan clients · 1,532 to 1,488
Jan 2, 2025 to Apr 17, 2025
Pooled vehicle clients · 23 to 22
Jan 2, 2025 to Apr 17, 2025
Assets in custody · $128B to $149B
Jan 2, 2025 to Apr 17, 2025
Employees · 6,534 to 6,464
Jan 2, 2025 to Apr 17, 2025
Insurance-licensed employees · 16 to 28
Jan 2, 2025 to Apr 17, 2025
Financial planning clients · 1-10 to 11-25
Jan 2, 2025 to Apr 17, 2025

Signals

60 dated events

Michael Keith Mccallum no longer holds an investment adviser registration (last listed at Stifel, Nicolaus & Company, Incorporated on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Robert Alexander Mulcahy registered as an investment adviser representative at Stifel, Nicolaus & Company, Incorporated
Sep 16, 2026 · Advisor registered · fact
Jack Botts Key registered as an investment adviser representative at Stifel, Nicolaus & Company, Incorporated
Sep 16, 2026 · Advisor registered · fact
Shane Ly Schlemitz registered as an investment adviser representative at Stifel, Nicolaus & Company, Incorporated
Sep 15, 2026 · Advisor registered · fact
Matthew B Case registered as an investment adviser representative at Stifel, Nicolaus & Company, Incorporated
Sep 15, 2026 · Advisor registered · fact
Hunter Curtis Simpson added a TX registration at Stifel, Nicolaus & Company, Incorporated
Sep 15, 2026 · New state registration · fact
Jai Dawson registered as an investment adviser representative at Stifel, Nicolaus & Company, Incorporated
Sep 14, 2026 · Advisor registered · fact
Hunter Curtis Simpson registered as an investment adviser representative at Stifel, Nicolaus & Company, Incorporated
Sep 14, 2026 · Advisor registered · fact
Hunter Curtis Simpson added a CA registration at Stifel, Nicolaus & Company, Incorporated
Sep 14, 2026 · New state registration · fact
Patrick Edward Phillipp left Stifel, Nicolaus & Company, Incorporated for Rockefeller Capital Management (registered 2026-09-04)
Sep 10, 2026 · Advisor changed firm · fact
Edward Robert Phillipp left Stifel, Nicolaus & Company, Incorporated for Rockefeller Capital Management (registered 2026-09-04)
Sep 10, 2026 · Advisor changed firm · fact
Laura Bienz left Stifel, Nicolaus & Company, Incorporated for Rockefeller Capital Management (registered 2026-09-04)
Sep 10, 2026 · Advisor changed firm · fact
Michelle Colquhoun left Stifel, Nicolaus & Company, Incorporated for Rockefeller Capital Management (registered 2026-09-04)
Sep 10, 2026 · Advisor changed firm · fact
2 advisors left Stifel, Nicolaus & Company, Incorporated (ST Louis, MO) for Rockefeller Capital Management on the same day
Sep 10, 2026 · Team lift-out · derived
Rebecca Marie Hellman left Stifel, Nicolaus & Company, Incorporated for Raymond James & Associates, Inc. (registered 2026-08-25)
Sep 2, 2026 · Advisor changed firm · fact
Jon Randall Garberg left Stifel, Nicolaus & Company, Incorporated for Raymond James & Associates, Inc. (registered 2026-08-26)
Sep 2, 2026 · Advisor changed firm · fact
Jeanine Marie Gaston left Stifel, Nicolaus & Company, Incorporated for Raymond James & Associates, Inc. (registered 2026-08-25)
Sep 2, 2026 · Advisor changed firm · fact
3 advisors left Stifel, Nicolaus & Company, Incorporated (Bellevue, WA) for Raymond James & Associates, Inc. on the same day
Sep 2, 2026 · Team lift-out · derived
Howard Louis Margolis left Stifel, Nicolaus & Company, Incorporated for Raymond James & Associates, Inc. (registered 2026-08-13)
Aug 19, 2026 · Advisor changed firm · fact
David Richard Milling left Stifel, Nicolaus & Company, Incorporated for Lpl Financial Llc (registered 2026-08-05)
Aug 12, 2026 · Advisor changed firm · fact
Matthew Ruzicka left Stifel, Nicolaus & Company, Incorporated for Edward Jones (registered 2026-08-18)
Aug 5, 2026 · Advisor changed firm · fact
Daniel Brown left Stifel, Nicolaus & Company, Incorporated for Moneta Group Investment Advisors, Llc (registered 2026-08-05)
Aug 5, 2026 · Advisor changed firm · fact
Shawn James Ezzo left Stifel, Nicolaus & Company, Incorporated for Rbc Capital Markets, Llc (registered 2026-08-06)
Jul 29, 2026 · Advisor changed firm · fact
Travis Penhollow Moss left Stifel, Nicolaus & Company, Incorporated for Rbc Capital Markets, Llc (registered 2026-07-17)
Jul 29, 2026 · Advisor changed firm · fact
Eddie Ramirez left Stifel, Nicolaus & Company, Incorporated for Wells Fargo Advisors (registered 2026-07-29)
Jul 29, 2026 · Advisor changed firm · fact
Donald Hite Kinsey left Stifel, Nicolaus & Company, Incorporated for Rbc Capital Markets, Llc (registered 2026-07-17)
Jul 29, 2026 · Advisor changed firm · fact
Matthew Joseph Pickett left Stifel, Nicolaus & Company, Incorporated for Rbc Capital Markets, Llc (registered 2026-07-17)
Jul 29, 2026 · Advisor changed firm · fact
4 advisors left Stifel, Nicolaus & Company, Incorporated (Dallas, TX) for RBC Capital Markets, LLC on the same day
Jul 29, 2026 · Team lift-out · derived
Ethan Tod Grossman left Stifel, Nicolaus & Company, Incorporated for Morgan Stanley (registered 2026-08-05)
Jul 22, 2026 · Advisor changed firm · fact
Joshua Peter Traudt left Stifel, Nicolaus & Company, Incorporated for Lpl Financial Llc (registered 2026-07-09)
Jul 15, 2026 · Advisor changed firm · fact

Across DFX

shared identifiers only, never a name match

Stifel, Nicolaus & Company, Incorporated · Independent Sponsors
shared crd · intermediary
Stifel, Nicolaus & Company, Incorporated · Private Equity
shared crd · organization
Stifel, Nicolaus & Company, Incorporated · Venture Capital
shared crd · organization

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/eaton-partnersreportedpublic record, Form ADV, Sep 17, 2026
Firm profile: linkedin.com/company/stifelreportedpublic record, Form ADV, Sep 17, 2026
Website: pbmstifel.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 314-342-2000reportedpublic record, Form ADV, Sep 15, 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: National broker-dealer RIAderiveda rule over Items 5.D and 7.A
RAUM per advisor: $59.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

Stifel, Nicolaus & Company, Incorporated is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

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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