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STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD 793File 801-10746
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 15, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$197.53B
Top 10% of cohort (national)
Discretionary AUM
$126.84B
Non-discretionary $70.69B
Clients
236,183
394,160 accounts
Employees
6,478
Top 10% of cohort in MO
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- May 7, 1975
- Principal office
- 501 N BROADWAY, ST LOUIS, MO, 63102
- Phone
- 314-342-2000
- Website
- HTTP://WWW.STIFEL.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $197.53B
- Discretionary AUM
- $126.84B
- Non-discretionary AUM
- $70.69B
- Discretionary accounts
- 302,279
- Non-discretionary accounts
- 91,881
- Total accounts
- 394,160
- AUM per client
- $836K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 1,967 | $6.21B |
| Non-U.S. persons | 13 | $135.0M |
| Insurance companies | Fewer than 5 | $31.5M |
| Charitable organizations | 1,426 | $5.35B |
| High net worth individuals | 73,687 | $137.41B |
| Pooled investment vehicles | 22 | $367.3M |
| Banking or thrift institutions | 551 | $2.68B |
| Pension and profit sharing plans | 1,481 | $2.57B |
| State or municipal government entities | 47 | $1.75B |
| Individuals (other than high net worth individuals) | 156,989 | $41.03B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Commissions
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- Yes
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11
- Q11A2
- Q11C1
- Q11C2
- Q11C4
- Q11C5
- Q11D1
- Q11D2
- Q11D4
- Q11D5
- Q11E1
- Q11E2
- Q11E4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 236,191 | 236,183 | decreased by8 |
| Apr 1, 2026 | Employees | 6,464 | 6,478 | increased by14 |
| Apr 1, 2026 | Clients | 222,322 | 236,191 | increased by13,869 |
| Apr 1, 2026 | AUM | $171,209,609,487 | $197,532,233,502 | increased by$26,322,624,015 |
| Apr 1, 2026 | Accounts | 368,405 | 394,160 | increased by25,755 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 6,384 | 6,464 | increased by80 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 194,334 | 222,322 | increased by27,988 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $148,561,390,277 | $171,209,609,487 | increased by$22,648,219,210 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 316,625 | 368,405 | increased by51,780 |
| Apr 1, 2022 | Employees | 6,361 | 6,384 | increased by23 |
| Apr 1, 2022 | Clients | 173,942 | 194,334 | increased by20,392 |
| Apr 1, 2022 | AUM | $117,820,023,852 | $148,561,390,277 | increased by$30,741,366,425 |
| Apr 1, 2022 | Accounts | 279,563 | 316,625 | increased by37,062 |
| 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 “STIFEL NICOLAUS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“STIFEL NICOLAUS” 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.