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STACEY BRAUN ASSOCIATES INC
CRD 105056File 801-10933
APPROVED
Retail clients
Filing as of Mar 19, 2026
Feed vintage Aug 17, 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 |
|---|---|---|---|
| Aug 17, 2026 | Clients | 1091 | 1010 |
| Aug 12, 2026 | Registration | — | APPROVED |
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.