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STIFEL CAPITAL MANAGEMENT, LLC

NEW YORK, NY · CRD 328365 · IAPD ↗ · stifelcapitalmanagement.com · 212-328-1000

$4.20BRegulatory AUM
5Advisory reps
9Employees
0Clients
n/aPlanning clients
0Private funds
53States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

74
April 2026 — STIFEL CAPITAL MANAGEMENT, LLC grew from 1 to 5 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
75
April 2026 — STIFEL CAPITAL MANAGEMENT, LLC reported RAUM up 182% ($1.49B -> $4.20B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
55
March 2026 — STIFEL CAPITAL MANAGEMENT, LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2025 — STIFEL CAPITAL MANAGEMENT, LLC crossed $1B in regulatory AUM ($745.4M -> $1.49B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
63
April 2024 — STIFEL CAPITAL MANAGEMENT, LLC began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
73
April 2024 — STIFEL CAPITAL MANAGEMENT, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP

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