SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Stacey Braun Associates Inc
New York, NY
CRD 105056
Firm filing updated March 19, 2026 ·
- $5.5BAssets
- 1,091Clients
- 9Advisory staff
- 1,091Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals883
- State or municipal government entities (including government pension plans)60
- Pension and profit sharing plans49
- High net worth individuals12
- Corporations or other businesses6
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 883 | $328.7 million |
| High net worth individuals | 12 | $102.3 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 49 | $2.8 billion |
| State or municipal government entities (including government pension plans) | 60 | $653.3 million |
| Corporations or other businesses not listed above | 6 | $62.8 million |
| Other: "WELFARE, ANNUITY, APPRENTICE & RETRAINING, EDUCATION, SEVERANCE, UNEMPLOYMENT, OPERATING, FOUNDATIONS, SCHOLARSHIP" | 81 | $1.5 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 4 services
- Educational seminars/workshops
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Educational seminars/workshops
Assets and accounts
- Regulatory assets$5.5 billion
- Accounts1,091
- Discretionary$5.4 billion · 1,089 accounts
- Non-discretionary$60.5 million · 2 accounts
People
- Employees17
- Advisory staff9
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients2,500
Registration details
- SEC-registered investment advisor. CRD 105056, SEC file 801-10933.
- Registered with the SEC as an investment advisor (status date on record: August 11, 1975).
Is Stacey Braun Associates Inc a fiduciary?
Short answer: Stacey Braun Associates Inc is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.