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.
Stifel Capital Management, LLC
New York, NY
CRD 328365
Firm filing updated March 31, 2026 ·
- $4.2BAssets
- 549Clients
- 5Advisory staff
- 549Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals257
- High net worth individuals161
- Corporations or other businesses93
- State or municipal government entities (including government pension plans)20
- Other investment advisors18
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 257 | $123.3 million |
| High net worth individuals | 161 | $593.9 million |
| State or municipal government entities (including government pension plans) | 20 | $2.0 billion |
| Other investment advisors | 18 | $53.4 million |
| Corporations or other businesses not listed above | 93 | $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
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$4.2 billion
- Accounts549
- DiscretionaryAll accounts
People
- Employees9
- Advisory staff5
- Broker-dealer reps2
- Licensed insurance agents1
Advisors
2 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 328365, SEC file 801-129003.
- Registered with the SEC as an investment advisor (status date on record: November 2, 2023).
Is Stifel Capital Management, LLC a fiduciary?
Short answer: Stifel Capital Management, LLC 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.'
Some of the firm's people may also act for a broker-dealer: 2 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
1 staff member is a licensed insurance agent and the firm has a related insurance company or agency.
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.