Broker-dealer firm · St Louis, MO
Stifel Independent Advisors, LLC
SEC-registered investment adviser · CRD 28218 · SEC 801-43561
At a glance
Stifel Independent Advisors, LLC is an SEC-registered investment adviser based in St Louis, Missouri, with $5.0 billion in regulatory assets under management as of its Form ADV filed September 3, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 7,762 individual clients. By Form ADV it is a broker-dealer firm, ranked 90th of 391 broker-dealer firms and 2,103rd of 17,210 SEC-registered advisers by assets.
Main office 314-342-4051stifelindependence.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $5.0B
- Rank among broker-dealer firms
- #90 of 391
- Rank among all SEC RIAs
- #2,103 of 17,210
- Rank in Missouri
- #25 of 196
- Individual clients
- 7,762
- High-net-worth clients
- 2,124
- Accounts
- 12,216
- Discretionary
- 65% of AUM
- Employees
- 198
- Advisory staff
- 132
- Offices
- 78
Owners and executives on its Form ADV
- Candace Lynn ScappatorFinop/principal Financial Officer
- Patricia Agnes BoylanChief Compliance Officer
- Tracy ZimmererPrincipal Operations Officer
- Frank Angelo Jr MassaPresident
Custody and brokerage
Custodian
Stifel Independent Advisors, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Stifel Independent Advisors, LLC is a hybrid RIA: 156 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Alliancebernstein Investments, Inc., Bernstein Institutional Services LLC, Equitable Advisors, LLC, Equitable Distributors, LLC, Planmember Securities Corporation and Sanford C. Bernstein & Co., LLC.
- Alliancebernstein Investments, Inc. ↗CRD 14549
- Bernstein Institutional Services LLC ↗CRD 317807
- Equitable Advisors, LLC ↗CRD 6627
- Equitable Distributors, LLC ↗CRD 25900
- Planmember Securities Corporation ↗CRD 11869
- Sanford C. Bernstein & Co., LLC ↗CRD 104474
Its Form ADV brochure (filed March 2026) names Stifel Independent Advisors and Stifel, Nicolaus & Company as the broker-dealer its advisers are registered with.
In addition to being registered representatives of Stifel Independent Advisors, some of our management persons may be registered representatives of these affiliated broker-dealers, including Stifel.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 2,124 | $3.5B | 69% |
| Individuals | 5,638 | $1.4B | 27% |
| Pension and profit sharing plans | 61 | $69M | 1% |
| Charitable organizations | 37 | $68M | 1% |
| Corporations or other businesses | 42 | $43M | <1% |
Disciplinary disclosures
Stifel Independent Advisors, LLC answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗stifelindependence.com ↗
AtlasMembers
The full record on Stifel Independent Advisors, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 88 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Stifel Independent Advisors, LLC manage?
Stifel Independent Advisors, LLC reports $5.0 billion in regulatory assets under management across 12,216 accounts, 65% of it on a discretionary basis, on its Form ADV filed September 3, 2026.
What kind of firm is Stifel Independent Advisors, LLC?
Stifel Independent Advisors, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Stifel Independent Advisors, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($3.5 billion, 2,124 clients); individuals ($1.4 billion, 5,638 clients); pension and profit sharing plans ($69 million, 61 clients).
Does Stifel Independent Advisors, LLC have any disciplinary history?
Stifel Independent Advisors, LLC answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Stifel Independent Advisors, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-03), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →