{"url":"https://nivawealth.com/firms/stifel-nicolaus-and-company-793","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/793","regulatoryAum":197532233502,"crd":"793","secFileNumber":"801-10746","legalName":"Stifel, Nicolaus & Company, Incorporated","displayName":"Stifel, Nicolaus & Company","website":"http://www.stifel.com","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/793/22df270abe4b3406-r1.webp","tone":"light","width":661,"height":200,"sourceUrl":"https://www.stifel.com/","sourceLabel":"Stifel, Nicolaus & Company, Incorporated, website"},"founded":null,"organization":"Missouri corporation","fiscalYearEnd":"December","headquarters":{"street":"501 N Broadway","city":"ST Louis","state":"MO","stateName":"Missouri","country":"United States","postalCode":"63102"},"tradeNames":["TWP Private Wealth Management"],"registration":{"secApproved":"7 May 1975","noticeFilings":52,"latestNoticeFiling":"3 July 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Investment, custody, transaction, and account maintenance expenses may be additional.","evidence":[],"feeBasis":"not_extracted","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=996560","versionId":996560,"reviewedOn":"2026-10-16","fee_billing":null,"submittedOn":"2026-03-31","documentName":"VISION PROGRAM DISCLOSURE BROCHURE","fee_rate_low":null,"fee_rate_high":null,"fee_negotiable":null,"scheduleStatus":"complex_schedule","minimum_account":null,"fee_minimum_annual":null,"entryCountLowerBound":11},{"tier":"asserted","pages":[7,13],"excerpt":"varies by Private Fund","program":"Vantage, Summit, and Private Fund Fees","summary":"The brochure covers commission-based Vantage accounts, negotiable Summit account fees, and separate Private Fund management fees. Summit billing is generally quarterly in advance with exceptions; Private Fund fees vary by fund and class and follow the offering documents.","evidence":[],"feeBasis":"not_extracted","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040480","versionId":1040480,"reviewedOn":"2026-10-16","fee_billing":null,"submittedOn":"2026-04-06","documentName":"ADVISORY CONSULTING SERVICES BROCHURE","fee_rate_low":null,"fee_rate_high":null,"fee_negotiable":null,"scheduleStatus":"complex_schedule","minimum_account":null,"fee_minimum_annual":null,"entryCountLowerBound":11},{"tier":"asserted","pages":[11,12],"excerpt":"Product Fees vary by Program and/or Portfolio","program":"Stifel Wrap Program Fees","summary":"Clients pay an asset-based Stifel Fee, with separate Product Fees for some portfolios and manager fees in Connect; disclosed ranges vary by program and portfolio. Billing is generally quarterly in advance, with exceptions, and account minimums vary by program and manager.","evidence":[],"feeBasis":"not_extracted","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040481","versionId":1040481,"reviewedOn":"2026-10-16","fee_billing":null,"submittedOn":"2026-04-06","documentName":"STIFEL'S WRAP FEE PROGRAM BROCHURE","fee_rate_low":null,"fee_rate_high":null,"fee_negotiable":null,"scheduleStatus":"complex_schedule","minimum_account":null,"fee_minimum_annual":null,"entryCountLowerBound":11},{"tier":"asserted","pages":[6,8],"excerpt":"We generally charge up to $5,000","program":"Fee-Based Financial Planning Fees","summary":"Fee-based financial planning charges vary with client complexity and scope, and exceptions to the general dollar cap may be allowed. The brochure states there is no minimum account size or minimum fee requirement.","evidence":[],"feeBasis":"not_extracted","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040482","versionId":1040482,"reviewedOn":"2026-10-16","fee_billing":null,"submittedOn":"2026-04-06","documentName":"STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE","fee_rate_low":null,"fee_rate_high":null,"fee_negotiable":null,"scheduleStatus":"complex_schedule","minimum_account":null,"fee_minimum_annual":null,"entryCountLowerBound":11}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_complex_schedule","checkedAt":"2026-10-16T03:06:31.457864+00:00","documents":[{"name":"STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040482","versionId":1040482,"submittedOn":"2026-04-06"},{"name":"STIFEL'S WRAP FEE PROGRAM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040481","versionId":1040481,"submittedOn":"2026-04-06"},{"name":"ADVISORY CONSULTING SERVICES BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040480","versionId":1040480,"submittedOn":"2026-04-06"},{"name":"VISION PROGRAM DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=996560","versionId":996560,"submittedOn":"2026-03-31"}]},"custodians":[],"custodyNote":"Stifel, Nicolaus & Company has custody of $176.11B for 234,425 clients.","otherCustodians":[],"leadership":[{"name":"Ronald James Kruszewski","title":"President, Chief Executive Office & Chairman of the Board","crd":"1434827"},{"name":"David Dean Sliney","title":"Senior Vice President & Director","crd":"2276514"},{"name":"James Mark Zemlyak","title":"Executive Vice President & Director","crd":"1586132"},{"name":"Paul Joseph Ayd","title":"Chief Compliance Officer - Capital Markets","crd":"2963853"},{"name":"Geoffrey Clyde JR Bright","title":"Chief Compliance Officer - Private Client Group","crd":"4696103"},{"name":"Gina Elizabeth Hyde","title":"Chief Compliance Officer - Capital Markets","crd":"2812751"},{"name":"Patrick Rodgers Brooks","title":"ROSFP - Capital Markets","crd":"2223412"},{"name":"Charles Edward Dodson","title":"CCO Advisory Services","crd":"1744430"},{"name":"Mark Philip Fisher","title":"General Counsel, Secretary","crd":"4970942"},{"name":"Angela Marie Jansen","title":"Principal Operations Officer","crd":"3190211"},{"name":"Adam Scott Melinger","title":"ROSFP - PCG","crd":"2373020"},{"name":"Charles Bradford Green Raymond","title":"Co-Head Global Institutional Equities & Advisory","crd":"2796106"},{"name":"Frederick Richard Schrick","title":"Principal Financial Officer","crd":"5636488"}],"ownership":[{"label":"Stifel Financial Corp.","detail":"Shareholder in the 75% or more ownership band and a control person, since February 1982."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":517,"privateResidences":0},"listedOfficeAddresses":26,"foreignOffices":[],"officesByState":[{"state":"Alabama","offices":2,"addresses":[{"street":"800 Shades Creek Parkway","city":"Birmingham"},{"street":"2660 Eastchase Lane","city":"Montgomery"}]},{"state":"California","offices":5,"addresses":[{"street":"400 Spectrum Center Drive","city":"Irvine"},{"street":"2121 Avenue of the Stars","city":"Los Angeles"},{"street":"One Montgomery Street","city":"San Francisco"},{"street":"520 Newport Center Drive","city":"Newport Beach"},{"street":"901 Bruce Road","city":"Chico"}]},{"state":"Florida","offices":1,"addresses":[{"street":"3835 Pga BLVD","city":"Palm Beach Gardens"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"70 West Madison Street","city":"Chicago"}]},{"state":"Indiana","offices":2,"addresses":[{"street":"8900 Keystone Crossing","city":"Indianapolis"},{"street":"10550 Broadway","city":"Crown Point"}]},{"state":"Kentucky","offices":1,"addresses":[{"street":"600 North Hurstbourne Pkwy","city":"Louisville"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"20 Custom House Street","city":"Boston"}]},{"state":"Minnesota","offices":1,"addresses":[{"street":"5500 Wayzata BLVD","city":"Golden Valley"}]},{"state":"Missouri","offices":4,"addresses":[{"street":"501 N Broadway","city":"ST Louis","headquarters":true},{"street":"8182 Maryland Ave","city":"Clayton"},{"street":"2021 S. Lindbergh BLVD","city":"Frontenac"},{"street":"2021 S. 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They include 156,989 other individual clients, 73,687 high-net-worth individuals, and 1,967 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 15 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Stifel, Nicolaus & Company offer?","answer":"Stifel, Nicolaus & Company provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, selecting other managers, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Stifel, Nicolaus & Company have?","answer":"Stifel, Nicolaus & Company has 3,388 investment adviser representatives registered with state securities authorities, out of 6,478 employees, and 3,079 perform investment advisory functions. 5,097 employees are registered representatives of a broker-dealer and 2,586 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Stifel, Nicolaus & Company invest in?","answer":"At the end of its last fiscal year, Stifel, Nicolaus & Company’s separately managed accounts held 44% exchange-traded equities, 42% registered funds (mutual funds, ETFs, BDCs), 3% state and local bonds, 3% cash and equivalents, 2% U.S. government and agency bonds, 2% investment grade corporate bonds, 2% other, 1% non-exchange-traded equities and 1% pooled vehicles (private funds and similar). The 2% other category is described as: Variable Group Annuities, Structured Notes, Mortgage Backed. It advises 22 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Stifel, Nicolaus & Company?","answer":"Stifel, Nicolaus & Company’s direct owner is Stifel Financial Corp. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 15 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Stifel, Nicolaus & Company get paid?","answer":"Stifel, Nicolaus & Company is paid through a percentage of assets under management, fixed fees and commissions. Its Form ADV lists no performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}