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STACEY BRAUN ASSOCIATES INC
CRD 105056File 801-10933
APPROVED
Retail clients
Filing as of Mar 19, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$5.50B
Top 25% of cohort (national)
Discretionary AUM
$5.44B
Non-discretionary $60.5M
Clients
1,010
1,091 accounts
Employees
17
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Aug 11, 1975
- Principal office
- 377 BROADWAY, NEW YORK, NY, 10013-3934
- Phone
- 212-226-7707
- Website
- HTTP://WWW.STACEYBRAUN.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $5.50B
- Discretionary AUM
- $5.44B
- Non-discretionary AUM
- $60.5M
- Discretionary accounts
- 1,089
- Non-discretionary accounts
- 2
- Total accounts
- 1,091
- AUM per client
- $5.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 6 | $62.8M |
| High net worth individuals | 12 | $102.3M |
| Pension and profit sharing plans | 49 | $2.84B |
| State or municipal government entities | 60 | $653.3M |
| Individuals (other than high net worth individuals) | 883 | $328.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 1,091 | 1,010 | decreased by81 |
| Apr 1, 2026 | Clients | 1,094 | 1,091 | decreased by3 |
| Apr 1, 2026 | AUM | $4,815,400,000 | $5,500,200,000 | increased by$684,800,000 |
| Apr 1, 2026 | Accounts | 1,094 | 1,091 | decreased by3 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 16 | 17 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,013 | 1,094 | increased by81 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $4,743,200,000 | $4,815,400,000 | increased by$72,200,000 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,013 | 1,094 | increased by81 |
| Apr 1, 2022 | Employees | 17 | 16 | decreased by1 |
| Apr 1, 2022 | Clients | 967 | 1,013 | increased by46 |
| Apr 1, 2022 | AUM | $4,091,300,000 | $4,743,200,000 | increased by$651,900,000 |
| Apr 1, 2022 | Accounts | 967 | 1,013 | increased by46 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “STACEY BRAUN” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“STACEY BRAUN” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.