SourcingSourcing

STIFEL CAPITAL MANAGEMENT, LLC

C27
CRD 328365·SEC 801-129003·NEW YORK, NY
AUM
$4.20B
$1B+
Est. Revenue
$42.0M
@ 1% on AUM
Est. EBITDA
$12.6M
@ 30% margin
Est. Deal Value
$100.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
STIFEL CAPITAL MANAGEMENT, LLC
CRD
328365
SEC file #
801-129003
EIN
—
DBA names
—

Economics

AUM
$4.20B
AUM band
$1B+
AUM trajectory
'25'26
$1.49B → $4.20B▲ +182%
Client mix
Individuals Other257
Individuals High Net Worth161
Corporations93
State Or Municipal Govt20
Other Investment Advisers18

Operations

Employees (total)
9
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'25'26
1 advisors → 5 advisors▲ +400%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
stifelcapitalmanagement.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
STIFEL FINANCIAL CORP
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
5
Control Persons
STIFEL FINANCIAL CORP
Perez, Cynthia, Teresa
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
STIFELCAPITALMANAGEMENT.COM
Rdap Domain Creation Date
2023-12-14T20:55:06Z
Rdap Firm Age Years
3
Rdap Firm Age Band
<5y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
2
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
E*trade4
Wells Fargo1
Morgan Stanley1
Firm Has Custody
Yes
Mailing Office Differs
Yes
Rdap Domain Expiration Date
2026-12-14T20:55:06Z
Rdap Domain Last Changed
2025-10-15T06:08:07Z
Rdap Nameservers
Edns1.ultradns.bizEdns1.ultradns.comEdns1.ultradns.netEdns1.ultradns.org
Rdap Secure Dns Enabled
No
Rdap Status
Active
Trust Company Affiliate
Yes

People (7)

7
TOPALIAN, ADAM, VARTAN
IAR · Executive Officer · 2.5%
1104727
Perez, Cynthia, Teresa
Executive Officer · 2.5%
1769327
Spero, Michael, Alexander
Executive Officer · 2.5%
4638465
STEIN, AVI, L
Executive Officer · 2.5%
5835030
Matthew T Zarrella
IAR
7132451
MICHAEL JOSEPH SMITH
IAR
2940112
JOHN POCCESCHI
IAR
1442521