← Tributary

JEFFERIES FINANCE LLC

NEW YORK, NY · CRD 162264 · IAPD ↗ · apexcreditpartners.com · 212-284-3474

$24.59BRegulatory AUM
51Advisory reps
124Employees
0Clients
n/aPlanning clients
50Private funds
6States
12Disclosures
fundSegment
ApprovedSEC status

Filing changes

40
March 2026 — JEFFERIES FINANCE LLC's Item 11 disclosure-reporting entries rose by 3 (9 -> 12).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
50
March 2026 — JEFFERIES FINANCE LLC reported RAUM up 28% ($19.19B -> $24.59B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
40
March 2024 — JEFFERIES FINANCE LLC shrank from 59 to 50 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
March 2024 — JEFFERIES FINANCE LLC now reports custody of client assets ($104.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.