Stifel, Nicolaus & Company, Incorporated
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.
In the firm's own words, from its website.
30 additional team members, 38 events, 1 verified contact (1 firm phone)
Every relationship, signal and contact on this record, with the source on each.
Includes 3 days of DFX Intelligence. Then $199/month unless canceled.
What matters now
- 2 departurespeople, 12 months
A team member departed 16 days ago. 2 departures on record in 12 months.
A partner leaving or arriving changes who decides, and who a founder or LP should call.
InferenceIAPD Form ADV Part 1 PDF per firm (current filing, Schedule D 7.B.(1) and Schedule A)For Founders, LPs, recruitersTeam →
People to know
View all people- Senior Vice President & DirectorWhy: Runs the firm (chief executive or president)No route on file yet
- Executive Vice President & DirectorWhy: Runs the firm (chief executive or president)No route on file yet
- Principal Financial OfficerWhy: Principal on the deal teamNo route on file yet
Relationship network
15 connected entities
From financing rounds and every investor named in them, Form ADV and Form D filings, the firm's funds and team, and disclosed LP commitments in the venture capital graph. A round's amount is the size of the round, not money that moved between two investors.
Some relationships on this record are counted rather than named here. They open with the full profile.
Click any name or line for the rounds and sources behind it. Line weight is rounds together; dashed lines are inferred.
- Capital provider
- Fund or vehicle
- Person
›How strength and recency are read
Co-investors are read from the rounds: three or more shared rounds is a strong observed relationship, two a repeat co-investor, one a single round. Funds and people are structural. Nothing is scored that a reader cannot check.
Darker lines were active in the last 24 months or are current; lighter lines are older or undated.
How am I connected?
Name your firm, a company or a person, and DFX finds the published routes to Stifel, Nicolaus & Company, Incorporated: a shared portfolio company or board, a prior employer, a co-investor, a shared LP or service provider. Every step is a filed or published record with its source; none is a guess about who knows whom.
See how you connect to Stifel, Nicolaus & Company, Incorporated
Includes 3 days of DFX Intelligence. Then $199/month unless canceled.
Investing
0 companies on record, 0 new in 12 months
Investments on record
What these amounts mean“This investor” is the amount disclosed for this investor alone; it is unknown unless a source said it. The round size is the whole round.Acquired, Public, Exited and Active are what the firm’s own portfolio card says, read on the date shown when you hover the chip; they are not deal dates. A company with no chip is one whose card states no outcome: DFX does not assume it is active.Stated thesis versus observed behaviour
- Sectors
- climate, cybersecurity
- Stages
- not stated or not yet read
- Geography
- canada, europe, global, uk, united states
- Check size
- not stated; DFX does not estimate checks from round sizes
Team
19 current, 27 departed
Decision makers
- David Dean Sliney · Senior Vice President & DirectorWhy this person: Runs the firm (chief executive or president); Named with investment responsibility
- James Mark Zemlyak · Executive Vice President & DirectorWhy this person: Runs the firm (chief executive or president); Named with investment responsibility
- Frederick Richard Schrick · Principal Financial OfficerWhy this person: Principal on the deal team; Named with investment responsibility
Ranked by the role the firm or its filing states, a route on file and deals led. Every reason is read from the record, never inferred. Routes are published by the person or the firm (their bio, the team page or a filing) and are revealed on a plan; data bought from a provider is never shown, and a route printed at a firm the person has since left is held back.
Investment team
How the team is orderedPartners who lead rounds first (rounds led, then deals attributed, then seniority), then the rest of the investment team, then investor relations, finance and operations. A person named by two sources under two spellings is shown once.- Senior Vice President & Director
- Principal Financial Officer
- Executive Vice President & Director
23 departed (kept with end dates)
- Janelle Andrea Conley · Rosfp · Jan 1, 2011 to Oct 30, 2015 Inference
- Matt Richard Wischmeier · Rosfp - Pcg · May 1, 2015 to Aug 30, 2019 Inference
- Timothy Owen Mcgurkin · Rosfp · Oct 1, 2015 to Aug 2, 2016 Inference
Contacts
1 firm phone on record, each with its source. Values open with the complete profile.
Funds and LPs
1 vehicle, 1 LPs disclosed
Funds and vehicles
What these amounts meanGAV is the gross asset value the adviser reported on Form ADV for the vehicle, never the fund’s committed size and never dry powder. Form D sold is the amount sold as of the latest filing, never a final close.| Vehicle | Type | Vintage | Lifecycle | Reported GAV | Owners | Form D sold | Latest Form D |
|---|---|---|---|---|---|---|---|
| Stifel Access (law Finance Group)lp | Fund | 2022 adv first reported | Active deployment | $6.1M Sep 15, 2026 | 27 | unknown | unknown |
Limited partners
- 1 commitment · $100M disclosed
Known LPs and allocators
What these amounts and dates areEach commitment is counted once across the pension tape and the allocator graph. A commitment date prints only when the source printed one; otherwise the row carries the report date. A foundation’s 990-PF line is a holding at fair value, never a commitment. Rows without a fund on the venture graph are commitments to this manager.| Allocator | Type | Fund | Amount | Date | Source |
|---|---|---|---|---|---|
| Oregon Public Employees Retirement Fund | PUBLIC INSTITUTIONAL POOL | Thomas Weisel Capital Partners at Stifel, Nicolaus & Company, Incorporated | $100M committed | reported as of Mar 31, 2026 | Fact Pension disclosure |
Relationships across DFX
0 co-investors · on 5 other DFX graphs
Co-investors
Across DFX and the capital chainon 5 other DFX graphs · 1 capital path ShowHide
- Sponsor-market profile (matched by same CRD)
- The same institution is held on Private Equity, Real Estate Funds, RIA and Wealth, Allocators, Private Credit, matched by identifier. See which records
Stifel, Nicolaus & Company, Incorporated is the same institution as 5 records in Private Equity, Real Estate Funds, RIA and Wealth, Allocators and Private Credit.
DFX found 5 relationships across 5 datasets
Which record it is in each graph, what it is called there, and how the two were matched.
Includes 3 days of DFX Intelligence. Then $199/month unless canceled.
Checking your plan…
Stifel, Nicolaus & Company, Incorporated sits on 1 traced path of capital across the graphs.
DFX traced 1 path of capital through this record
Every record on each path, what it committed or lent, and as of when.
Includes 3 days of DFX Intelligence. Then $199/month unless canceled.
Derived from allocator disclosures, BDC schedules and SEC filings; confidence is the weakest hop.
Checking your plan…
Evidence and history
43 dated events, 333 observations from 4 sources
Timeline
- Sep 15, 2026Victor John Nesi (Executive Vice President & Director) no longer on Schedule A of Stifel, Nicolaus & Company, Incorporated
- Sep 15, 2026Douglas Wayne Noll (Principal Operations Officer) no longer on Schedule A of Stifel, Nicolaus & Company, Incorporated
- Mar 31, 2026OPERF reports Thomas Weisel Capital Partners: $100,000,000 committed, vintage 1999, net IRR -9.8%, 0.59x
- Feb 15, 2024Franklin Seaton Jr Bennett (Chief Compliance Officer - Private Client Group) no longer on Schedule A of Stifel, Nicolaus & Company, Incorporated
- Feb 1, 2024Geoffrey Clyde Jr Bright joined Schedule A of Stifel, Nicolaus & Company, Incorporated as Chief Compliance Officer - Private Client Group
Identity and regulatory footprint
Address, phone, Form ADV filing and ownersForm ADV filed Sep 15, 2026 · 22 private fundsShowHide
- Headquarters
- St Louis, MOadviserinfo.sec.gov
- Office address
- unknownadviserinfo.sec.gov
- Business phone
- unknownadviserinfo.sec.gov
- Website
- STIFEL.COM
- SEC adviser type
- Registered investment adviseradviserinfo.sec.gov
- SEC exemption claimed
- unknown
- Latest Form ADV
- Sep 15, 2026
- Private funds reported
- 22 (1 venture capital funds)adviserinfo.sec.gov
- Private fund gross assets, adviser total
- $367Madviserinfo.sec.govreported GAV of the funds, the adviser's own number; not fund size, not dry powder
- Regulatory AUM
- $198Bthe adviser's RAUM, a regulatory measure, never a fund size
- Employees
- 6,478
- Owners on Schedule A
- Stifel Financial Corp (Shareholder), owns 75% or more
Classification history
Classification history
Every classification this record has carried1 on recordShowHide
- Sep 12, 2026Corporate venture (probable, 80%)
Evidence
Every observation behind this profile, with its source, date and class
| Fact | Value | Effective | Class | Source |
|---|---|---|---|---|
| Why admitted | VC funds reported | Aug 31, 2026 | Fact | Form ADV |
| SEC adviser type | Registered investment adviser | Sep 15, 2026 | Fact | Form ADV |
| SEC adviser type | Registered investment adviser | Aug 31, 2026 | Fact | Form ADV |
| SEC adviser type | Registered investment adviser | Nov 21, 2024 | Fact | Form ADV |
| First Form ADV filing | 2011-12-13 | Sep 15, 2026 | Fact | Form ADV |
| First Form ADV filing | 2011-12-13 | Nov 21, 2024 | Fact | Form ADV |
| Adv history loaded | adv-hist-1+panel:2026-09-29 | Sep 30, 2026 | Fact | Form ADV |
| Adv history loaded | adv-hist-1+panel:2026-09-25 | Sep 26, 2026 | Fact | Form ADV |
| Adv history loaded | adv-hist-1+panel:2026-09-23 | Sep 24, 2026 | Fact | Form ADV |
| Adv history loaded | adv-hist-1+panel:2026-09-21 | Sep 23, 2026 | Fact | Form ADV |
| Adv history loaded | adv-hist-1+panel:2026-09-22 | Sep 23, 2026 | Fact | Form ADV |
| Adv history loaded | adv-hist-1 | Sep 12, 2026 | Fact | Form ADV |
| Latest Form ADV filing | 2026-09-15 | Sep 15, 2026 | Fact | Form ADV |
| Latest Form ADV filing | 2026-08-31 | Aug 31, 2026 | Fact | Form ADV |
| Latest Form ADV filing | 2024-11-21 | Nov 21, 2024 | Fact | Form ADV |
| SEC status | Approved | Aug 31, 2026 | Fact | Form ADV |
| SEC status effective | 1975-05-07 | Aug 31, 2026 | Fact | Form ADV |
| Venture share of reported funds | 0 | Sep 15, 2026 | Fact | Form ADV |
| Venture share of reported funds | 0 | Nov 21, 2024 | Fact | Form ADV |
| Business phone | Aug 31, 2026 | Fact | Form ADV | |
| Business phone | Nov 21, 2024 | Fact | Form ADV | |
| Contact page url | Sep 16, 2026 | Fact | ||
| Description | Sep 16, 2026 | Fact | ||
| Employees | 6,478 | Aug 31, 2026 | Fact | Form ADV |
| Employees | 6,534 | Nov 21, 2024 | Fact | Form ADV |
| Headquarters | St Louis, MO | Aug 31, 2026 | Fact | Form ADV |
| Headquarters | St Louis, MO | Nov 21, 2024 | Fact | Form ADV |
| Office address | Aug 31, 2026 | Fact | Form ADV | |
| Office address | Nov 21, 2024 | Fact | Form ADV | |
| Legal form | Corporation | Aug 31, 2026 | Fact | Form ADV |
| Other funds reported | 21 | Aug 31, 2026 | Fact | Form ADV |
| Private funds reported | 22 | Sep 15, 2026 | Fact | Form ADV |
| Private funds reported | 22 | Aug 31, 2026 | Fact | Form ADV |
| Private funds reported | 23 | Nov 21, 2024 | Fact | Form ADV |
| Private fund gross assets (reported) | $367M | Sep 15, 2026 | Fact | Form ADV |
| Private fund gross assets (reported) | $367M | Aug 31, 2026 | Fact | Form ADV |
| Private fund gross assets (reported) | $267M | Nov 21, 2024 | Fact | Form ADV |
| Regulatory AUM (adviser, not fund size) | $198B | Aug 31, 2026 | Fact | Form ADV |
| Regulatory AUM (adviser, not fund size) | $149B | Nov 21, 2024 | Fact | Form ADV |
| Schedule a diff | sadiff-1 | Sep 15, 2026 | Fact | Form ADV |
| Stated geography | Canada, europe, global, UK, united states “geography words on the home page” | Sep 16, 2026 | Fact | |
| Stated sectors | Climate, cybersecurity “sector words on the home page” | Sep 16, 2026 | Fact | |
| Venture funds reported | 1 | Sep 15, 2026 | Fact | Form ADV |
| Venture funds reported | 1 | Aug 31, 2026 | Fact | Form ADV |
| Venture funds reported | 1 | Nov 21, 2024 | Fact | Form ADV |
| Website | Sep 12, 2026 | Fact | Form ADV | |
| Website | Aug 31, 2026 | Fact | Form ADV | |
| Website | Nov 21, 2024 | Fact | Form ADV | |
| Website | Nov 21, 2024 | Fact | Form ADV | |
| Website status | unreachable “home page did not answer with HTML” | Sep 14, 2026 | Fact | |
| Site title | Sep 16, 2026 | Fact |
How this is scored
Scores, classification basis and filing advisersCorporate venture, probable · 3 filing advisers share this firmShowHide
Corporate parent: Stifel Financial Corp
This firm files as 3 advisers on stifel.com: Thomas Weisel Capital Management LLC, Thomas Weisel Global Growth Partners LLC. Each keeps its own CRD, funds and filings; the grouping is the website each swore to on Form ADV and is recomputed every pass.
- importance
- gav: 0 · funds: 0.08 · people: 0.24 · investments: 0 · co investors: 0
- active deployment
- investments 12m: 0 · fund raising 18m: 0 · people joined 12m: 0 · vintage within 3y: 0 · latest investment at: not scored
- emerging manager
- fund count: 1 · reported gav: $6.1M · first adv filing: 2011-12-13 · years since first filing: 14.8
Fits, record history and connections
scored matches for this investor, every identity change, every edge
Record history
- LP commitment disclosed2026-03-31source on record
- Adviser's first ADV filing2011-12-13source on record
The ledger records every merge, rename and reclassification this record went through and the dated filings observed on it, so the identity on this page can be traced to the records it was built from. The ledger's own sentences name other records, so they show with the names.
Not yet on record: new companies, 12 mo.