Company profile
Website
Employees
Incorporated
SEC CIK
IRS number
431567959
SEC advisor number
801-43561
FINRA CRD number
28218
AUM ?
$731.60 mm
(as of 2 Jan 20)
Accounts
2,803
(as of 2 Jan 20)
Employees
145
(86 investment advisory or research)
Office hours
Monday - Friday, 8:00-4:30
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
Brautigam, Allen Cor | President and Director | 05/2011 | < 5% |
Stifel Financial Corp. | Owner-holding Company Owning 100% | 01/1991 | > 75% |
Kruszewski, Ronald James | Director, Chairman of the Board | 01/1998 | 5-10% |
Zemlyak, James Mark | Director | 04/2000 | < 5% |
Frank, Terrence Dooley | First Vice President | 12/2001 | < 5% |
Kazembe, Rita Stephanie | CCO Advisory Services | 03/2011 | < 5% |
Rowan, James Francis | Principal Financial Officer | 03/2014 | < 5% |
Fisher, Mark | General Counsel | 06/2014 | < 5% |
Olsen, John Gerald | Chief Compliance Officer | 04/2015 | < 5% |
Noll, Douglas Wayne | Principal Operations Officer | 10/2018 | < 5% |
Melinger, Adam Scott | Rosfp | 08/2019 | < 5% |
Latest filings (excl ownership)
No filings
Latest ownership filings
13F-NT
Notice of holdings reported by another manager
13 Feb 24
13F-NT
Notice of holdings reported by another manager
14 Nov 23
13F-NT
Notice of holdings reported by another manager
14 Aug 23
13F-NT
Notice of holdings reported by another manager
15 May 23
13F-NT
Notice of holdings reported by another manager
14 Feb 23
13F-NT
Notice of holdings reported by another manager
14 Nov 22
13F-NT
Notice of holdings reported by another manager
15 Aug 22
13F-NT
Notice of holdings reported by another manager
13 May 22
13F-NT
Notice of holdings reported by another manager
14 Feb 22
13F-NT
Notice of holdings reported by another manager
15 Nov 21