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Stifel, Nicolaus & Company, Incorporated

Stifel, Nicolaus & Company, Incorporated

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Holdings

ETF Holdings

Name Assets
iShares Core MSCI EAFE ETF $103,111,000
iShares Core US Aggregate Bond ETF $89,609,000
iShares S&P 500 Growth ETF $89,348,000
SPDR S&P 500 ETF Trust $89,229,000
Vanguard Short-Term Bond Index Fund $84,107,000
Vanguard 500 Index Fund $81,668,000
Vanguard Emerging Markets Stock Index Fund $79,419,000
iShares iBoxx $ Investment Grade Corporate Bond ETF $78,994,000
iShares MSCI EAFE ETF $78,301,000
iShares 3-7 Year Treasury Bond ETF $74,431,000
Vanguard Intermediate-Term Corporate Bond Index Fund $73,231,000
iShares Russell 1000 Growth ETF $69,743,000
iShares S&P 500 Value ETF $69,015,000
iShares 1-3 Year Credit Bond ETF $68,272,000
iShares MBS ETF $66,287,000
iShares Russell 3000 ETF $54,605,000
iShares Russell 1000 Value ETF $51,706,000
iShares 1-3 Year Treasury Bond ETF $51,526,000
iShares Russell 2000 ETF $42,861,000
First Trust Dorsey Wright Focus 5 ETF $42,326,000
iShares Intermediate Credit Bond ETF $39,468,000
iShares Russell 2000 Growth ETF $35,967,000
Vanguard Total Bond Market Index Fund $34,607,000
Guggenheim S&P 500 Equal Weight ETF $32,227,000
Vanguard Small-Cap Index Fund $29,033,000
iShares S&P Small-Cap 600 Growth ETF $28,321,000
Vanguard REIT Index Fund $28,198,000
iShares Core S&P Mid-Cap ETF $27,488,000
Vanguard Mid-Cap Growth Index Fund $27,438,000
Vanguard Mid-Cap Value Index Fund $26,780,000
Alerian MLP ETF $26,230,000
iShares 20+ Year Treasury Bond ETF $25,927,000
ProShares UltraPro QQQ $25,819,000
iShares Core MSCI Emerging Markets ETF $25,575,000
iShares S&P Mid-Cap 400 Growth ETF $25,531,000
iShares iBoxx $ High Yield Corporate Bond ETF $25,219,000
Vanguard Total Stock Market Index Fund $23,347,000
iShares US Real Estate ETF $21,165,000
WisdomTree Europe Hedged Equity Fund $20,544,000
iShares S&P Mid-Cap 400 Value ETF $20,056,000
Vanguard Tax-Managed International Fund $20,002,000
iShares Russell 2000 Value ETF $19,731,000
First Trust Health Care AlphaDEX Fund $19,688,000
SPDR S&P Bank ETF $19,425,000
Deutsche X-trackers MSCI Europe Hedged Equity ETF $19,357,000
Vanguard High Dividend Yield Index Fund $18,964,000
Vanguard Long-Term Corporate Bond Index Fund $18,560,000
First Trust Consumer Staples AlphaDEX Fund $18,063,000
iShares Intermediate Government/Credit Bond ETF $17,006,000
Vanguard Information Technology Index Fund $16,395,000
iShares S&P Small-Cap 600 Value ETF $15,923,000
iShares Select Dividend ETF $15,862,000
iShares Core S&P Small-Cap ETF $15,565,000
iShares MSCI Emerging Markets ETF $15,342,000
iShares 7-10 Year Treasury Bond ETF $15,046,000
First Trust Dow Jones Internet Index Fund $14,687,000
iShares US Preferred Stock ETF $14,075,000
First Trust Consumer Discretionary AlphaDEX Fund $14,047,000
First Trust NYSE Arca Biotechnology Index Fund $13,321,000
Vanguard Intermediate-Term Bond Index Fund $13,190,000
iShares TIPS Bond ETF $13,085,000
iShares Russell 1000 ETF $13,064,000
SPDR Gold Shares $12,303,000
Vanguard Dividend Appreciation Index Fund $11,485,000
Vanguard Short-Term Corporate Bond Index Fund $11,356,000
iShares Russell Mid-Cap Growth ETF $10,974,000
Guggenheim S&P 500 Top 50 ETF $10,957,000
SPDR Dow Jones Industrial Average ETF Trust $10,849,000
Vanguard Growth Index Fund $10,731,000
iShares Edge MSCI Min Vol USA ETF $10,685,000
First Trust NASDAQ-100 Equal Weighted Index Fund $10,465,000
SPDR S&P Dividend ETF $10,238,000
PowerShares DWA Momentum Portfolio $9,832,000
iShares MSCI Japan ETF $9,792,000
Powershares S&P 500 Low Volatility Portfolio $9,769,000
iShares Core S&P 500 ETF $9,343,000
iShares National Muni Bond ETF $9,254,000
Vanguard Value Index Fund $9,224,000
Vanguard Mid-Cap Index Fund $9,080,000
Technology Select Sector SPDR Fund $9,005,000
Financial Select Sector SPDR Fund $8,813,000
Vanguard Small-Cap Growth Index Fund $8,470,000
iShares 10+ Year Credit Bond ETF $8,359,000
First Trust Large Cap Core AlphaDEX Fund $8,226,000
Vanguard European Stock Index Fund $8,060,000
SPDR Bloomberg Barclays High Yield Bond ETF $7,987,000
Vanguard Total World Stock Index Fund $7,550,000
Vanguard FTSE All-World ex US Index Fund $7,537,000
Consumer Discretionary Select Sector SPDR Fund $7,469,000
iShares MSCI EAFE Small-Cap ETF $7,387,000
iShares Russell Mid-Cap ETF $7,314,000
iShares International Select Dividend ETF $7,100,000
Health Care Select Sector SPDR Fund $6,789,000
SPDR S&P MidCap 400 ETF $6,618,000
Deutsche X-trackers MSCI Japan Hedged Equity ETF $6,599,000
Guggenheim BulletShares 2016 High Yield Corporate Bond ETF $6,581,000
VanEck Vectors High-Yield Municipal Index ETF $6,535,000
SPDR Bloomberg Barclays Convertible Securities ETF $6,519,000
Energy Select Sector SPDR Fund $6,494,000
iShares MSCI KLD 400 Social ETF $6,404,000
SPDR Dow Jones REIT ETF $6,343,000
Consumer Staples Select Sector SPDR Fund $6,243,000
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF $6,182,000
iShares Short-Term National Muni Bond ETF $6,057,000
VanEck Vectors AMT-Free Intermediate Municipal Index ETF $5,747,000
First Trust Mid Cap Core AlphaDEX Fund $5,743,000
WisdomTree MidCap Dividend Fund $5,689,000
iShares Nasdaq Biotechnology ETF $5,613,000
Vanguard Small-Cap Value Index Fund $5,319,000
SPDR S&P Regional Banking ETF $4,980,000
SPDR S&P International Small Cap ETF $4,766,000
Industrial Select Sector SPDR Fund $4,634,000
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund $4,607,000
iShares Core S&P US Growth ETF $4,565,000
First Trust Preferred Securities and Income ETF $4,541,000
Deutsche X-trackers MSCI EAFE Hedged Equity ETF $4,479,000
PIMCO Total Return Active Exchange-Traded Fund $4,270,000
SPDR Dow Jones International Real Estate ETF $4,252,000
iShares Core High Dividend ETF $4,225,000
iShares Core MSCI Europe ETF $4,220,000
Vanguard Energy Index Fund $4,157,000
Vanguard Total International Bond Index Fund $4,107,000
SPDR Blackstone/GSO Senior Loan ETF $3,976,000
iShares Floating Rate Bond ETF $3,879,000
First Trust NASDAQ Technology Dividend Index Fund $3,859,000
iShares China Large-Cap ETF $3,821,000
PowerShares Senior Loan Portfolio $3,743,000
First Trust S&P REIT Index Fund $3,615,000
PowerShares National AMT-Free Municipal Bond Portfolio $3,567,000
WisdomTree Japan Hedged Equity Fund $3,555,000
Vanguard Large-Cap Index Fund $3,432,000
PowerShares Buyback Achievers Portfolio $3,376,000
First Trust Dorsey Wright International Focus 5 ETF $3,370,000
iShares Dow Jones US ETF $3,330,000
iShares JPMorgan USD Emerging Markets Bond ETF $3,171,000
PowerShares Dynamic Pharmaceuticals Portfolio $3,106,000
Alps Sector Dividend Dogs ETF $2,998,000
iShares Silver Trust $2,976,000
Vanguard FTSE All-World ex-US Small-Cap Index Fund $2,947,000
VanEck Vectors Gold Miners ETF $2,885,000
iShares US Aerospace & Defense ETF $2,865,000
First Trust Large Cap Growth AlphaDEX Fund $2,722,000
iShares US Pharmaceuticals ETF $2,562,000
SPDR Bloomberg Barclays Short Term Corporate Bond ETF $2,517,000
Materials Select Sector SPDR Fund $2,417,000
SPDR EURO STOXX 50 ETF $2,410,000
iShares Core MSCI Pacific ETF $2,316,000
iShares MSCI South Korea Capped ETF $2,312,000
VanEck Vectors Retail ETF $2,208,000
Utilities Select Sector SPDR Fund $2,204,000
iShares MSCI Taiwan Capped ETF $2,177,000
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund $2,127,000
iShares MSCI Pacific ex Japan ETF $2,099,000
Vanguard Extended Market Index Fund $2,077,000
SPDR S&P Homebuilders ETF $1,999,000
First Trust Developed Markets Ex-US AlphaDEX Fund $1,965,000
iShares MSCI EAFE Growth ETF $1,948,000
PowerShares DB Commodity Index Tracking Fund $1,931,000
VanEck Vectors AMT-Free Short Municipal Index ETF $1,921,000
Vanguard Mortgage-Backed Securities Index Fund $1,919,000
VanEck Vectors Morningstar Wide Moat ETF $1,856,000
VanEck Vectors AMT-Free Long Municipal Index ETF $1,817,000
JPMorgan Alerian MLP Index Exchange Traded Notes $1,810,000
VanEck Vectors Junior Gold Miners ETF $1,778,000
Guggenheim S&P 500 Equal Weight Technology ETF $1,769,000
SPDR S&P Biotech ETF $1,664,000
PureFunds ISE Cyber Security ETF $1,655,000
Guggenheim BulletShares 2017 Corporate Bond ETF $1,652,000
iShares 10-20 Year Treasury Bond ETF $1,650,000
PowerShares S&P SmallCap Health Care Portfolio $1,647,000
iShares MSCI ACWI ex US ETF $1,626,000
PowerShares DWA Developed Markets Momentum Portfolio $1,535,000
iShares S&P 100 ETF $1,532,000
PowerShares Preferred Portfolio $1,523,000
iShares MSCI EAFE Value ETF $1,489,000
PowerShares Dynamic Leisure & Entertainment Portfolio $1,471,000
iShares Gold Trust $1,463,000
First Trust Value Line Dividend Index Fund $1,450,000
iShares MSCI United Kingdom ETF $1,432,000
iShares Russell Mid-Cap Value ETF $1,403,000
PowerShares Dynamic Biotechnology & Genome Portfolio $1,388,000
PowerShares Dynamic Food & Beverage Portfolio $1,383,000
iShares Cohen & Steers REIT ETF $1,376,000
Vanguard Utilities Index Fund $1,348,000
iShares US Healthcare Providers ETF $1,336,000
iShares Currency Hedged MSCI Germany ETF $1,308,000
Vanguard Health Care Index Fund $1,301,000
iShares MSCI Ireland Capped ETF $1,295,000
SPDR Bloomberg Barclays Intermediate Term Treasury ETF $1,284,000
iShares MSCI India ETF $1,274,000
iShares MSCI Hong Kong ETF $1,262,000
PowerShares S&P 500 High Dividend Low Volatility Portfolio $1,249,000
Guggenheim BulletShares 2016 Corporate Bond ETF $1,216,000
Vanguard Global ex-US Real Estate Index Fund $1,209,000
iShares Emerging Markets Local Currency Bond ETF $1,193,000
iShares Europe ETF $1,171,000
iShares MSCI ACWI ETF $1,159,000
PowerShares Aerospace & Defense Portfolio $1,139,000
Guggenheim BulletShares 2018 Corporate Bond ETF $1,120,000
VanEck Vectors Biotech ETF $1,113,000
Guggenheim Raymond James SB-1 Equity ETF $1,112,000
SPDR Bloomberg Barclays International Treasury Bond ETF $1,080,000
iShares US Consumer Services ETF $1,044,000
iShares US Energy ETF $1,020,000
iShares US Treasury Bond ETF $1,017,000
Vanguard Short-Term Inflation-Protected Securities Index Fund $994,000
SPDR Bloomberg Barclays Short Term High Yield Bond ETF $994,000
Guggenheim S&P 500 Equal Weight Health Care ETF $977,000
First Trust Multi-Asset Diversified Income Index Fund $971,000
VanEck Vectors JP Morgan EM Local Currency Bond ETF $966,000
PowerShares DWA Industrials Momentum Portfolio $965,000
WisdomTree International MidCap Dividend Fund $918,000
iShares MSCI Brazil Capped ETF $904,000
iShares Core S&P Total US Stock Market ETF $902,000
iShares US Regional Banks ETF $902,000
DB Gold Double Short Exchange Traded Notes $888,000
iShares MSCI Switzerland Capped ETF $888,000
Vanguard S&P Mid-Cap 400 Growth Index Fund $875,000
WisdomTree High Dividend Fund $872,000
VanEck Vectors Pre-Refunded Municipal Index ETF $869,000
PowerShares Financial Preferred Portfolio $865,000
Vanguard Pacific Stock Index Fund $862,000
SPDR S&P Semiconductor ETF $857,000
VanEck Vectors Oil Services ETF $856,000
Vanguard Mega Cap Value Index Fund $849,000
Vanguard Financials Index Fund $832,000
iShares MSCI Global Metals & Mining Producers ETF $819,000
iShares MSCI All Country Asia ex Japan ETF $789,000
SPDR S&P International Dividend ETF $780,000
PowerShares DWA Emerging Markets Momentum Portfolio $758,000
iShares S&P GSCI Commodity-Indexed Trust $748,000
Guggenheim Investments CurrencyShares Canadian Dollar Trust $747,000
First Trust Dow Jones Global Select Dividend Index Fund $727,000
iShares MSCI Belgium Capped ETF $718,000
VanEck Vectors Semiconductor ETF $715,000
First Trust Industrials/Producer Durables AlphaDEX Fund $708,000
iShares US Oil & Gas Exploration & Production ETF $702,000
iShares Edge MSCI Min Vol Emerging Markets ETF $698,000
WisdomTree LargeCap Dividend Fund $692,000
SPDR Bloomberg Barclays Intermediate Term Corporate Bond ETF $661,000
Vanguard Industrials Index Fund $658,000
Vanguard Total International Stock Index Fund $656,000
First Trust Europe AlphaDEX Fund $652,000
First Trust Equity Opportunities ETF $635,000
iShares MSCI Philippines ETF $633,000
Vanguard Mega Cap Growth Index Fund $624,000
WisdomTree Europe SmallCap Dividend Fund $611,000
iShares Edge MSCI Min Vol EAFE ETF $610,000
iShares US Healthcare ETF $607,000
SPDR S&P Emerging Markets Small Cap ETF $601,000
ProShares UltraShort S&P500 $598,000
iShares US Technology ETF $597,000
Vanguard Mega Cap Index Fund $573,000
IQ Hedge Multi-Strategy Tracker ETF $573,000
PowerShares S&P 500 BuyWrite Portfolio $570,000
iShares Global Infrastructure ETF $565,000
AdvisorShares Ranger Equity Bear ETF $554,000
SPDR S&P Insurance ETF $534,000
ETFS Physical Platinum Shares $533,000
PowerShares International Corporate Bond Portfolio $532,000
WisdomTree International Equity Fund $530,000
WisdomTree MidCap Earnings Fund $525,000
Guggenheim BulletShares 2018 High Yield Corporate Bond ETF $518,000
Vanguard Consumer Discretionary Index Fund $518,000
First Trust Large Cap Value AlphaDEX Fund $506,000
iShares North American Tech-Multimedia Networking ETF $506,000
SPDR S&P Oil & Gas Exploration & Production ETF $495,000
SPDR Dow Jones Global Real Estate ETF $493,000
UBS Exchange Traded Access Securities (E-TRACS) Alerian MLP Infrastructure Index $484,000
PowerShares S&P SmallCap Information Technology Portfolio $484,000
SPDR S&P Oil & Gas Equipment & Services ETF $478,000
iShares MSCI Australia ETF $471,000
PowerShares Emerging Markets Sovereign Debt Portfolio $470,000
Guggenheim Investments CurrencyShares Euro Trust $469,000
First Trust Materials AlphaDEX Fund $466,000
WisdomTree International High Dividend Fund $462,000
First Trust Multi Cap Growth AlphaDEX Fund $462,000
First Trust North American Energy Infrastructure Fund $455,000
iShares North American Tech-Software ETF $453,000
iShares North American Tech ETF $442,000
SPDR S&P Retail ETF $440,000
WisdomTree Dividend ex-Financials Fund $436,000
PowerShares Water Resources Portfolio $434,000
Vanguard Consumer Staples Index Fund $430,000
WisdomTree International SmallCap Dividend Fund $427,000
iShares Currency Hedged MSCI EAFE ETF $421,000
PowerShares CEF Income Composite Portfolio $404,000
FlexShares Quality Dividend Index Fund $383,000
iShares MSCI Germany ETF $364,000
Guggenheim BulletShares 2019 High Yield Corporate Bond ETF $340,000
First Trust Multi Cap Value AlphaDEX Fund $339,000
iShares US Consumer Goods ETF $338,000
WisdomTree Emerging Markets High Dividend Fund $335,000
iShares Short Treasury Bond ETF $324,000
PowerShares High Yield Equity Dividend Achievers Portfolio $322,000
PowerShares S&P International Developed Low Volatility Portfolio $319,000
iShares 0-5 Year TIPS Bond ETF $314,000
PowerShares S&P 500 Quality Portfolio $306,000
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund $306,000
Guggenheim Multi-Asset Income ETF $306,000
Global X SuperDividend US ETF $299,000
PowerShares Build America Bond Portfolio $298,000
SPDR Morgan Stanley Technology ETF $297,000
iShares Morningstar Large-Cap Growth ETF $290,000
United States Oil Fund, LP $283,000
iShares Global Energy ETF $283,000
iShares International Treasury Bond ETF $274,000
Guggenheim S&P 500 Equal Weight Consumer Discretionary ETF $268,000
Vanguard Telecommunication Services Index Fund $253,000
iShares MSCI Indonesia ETF $249,000
PowerShares Dynamic Energy Exploration & Production Portfolio $242,000
Vanguard Materials Index Fund $224,000
Guggenheim S&P 500 Pure Value ETF $220,000
PowerShares International Dividend Achievers Portfolio $219,000
VanEck Vectors Short High-Yield Municipal Index ETF $217,000
Sprott Gold Miners ETF $217,000
iShares MSCI USA ESG Select ETF $215,000
ProShares Ultra S&P500 $213,000
Schwab US Large-Cap ETF $212,000
SPDR S&P Pharmaceuticals ETF $210,000
Vanguard Long-Term Bond Index Fund $208,000
iShares US Industrials ETF $204,000
SPDR S&P Metals & Mining ETF $166,000
iShares Mortgage Real Estate Capped ETF $129,000
PowerShares WilderHill Clean Energy Portfolio $63,000

    Assets

    Assets

    Last updated on Nov. 5, 2017
      • $53.9B
        Total Assets Under Management
      • N/A
        Total Assets Under Advisement
      • 141K
        Accounts
      • $381.7K
        Estimated Average Account Balance

    Services

    Firm Services

    There is no Services data available to display at this time.

    Firm Client types

    Advisors

    Current Advisors

    # of advisors

    4,681

    name start date
    John Carlo Troiano
    October 2006
    Luis Alberto Gordillo Vera
    December 2015
    William Andrew Hanlon
    March 2009
    Scott Lynn Gillespie
    February 2017
    Kim Annette Webber
    November 2010

      Affiliated Investment Advisors and Broker Dealers

      Name Type Total Assets
      1919 Investment Counsel, LLC IAR $10,438,008,513
      Century Securities Associates Inc Dual Registrant $572,229,178
      City Securities Corporation Dual Registrant $949,080,927
      CSA Insurance Agency Incorporated -- --
      Eaton Partners, LLC Broker-Dealer --
      Equitycompass Strategies IAR $685,159,350
      Fsi Capital Holdings IAR $95,307,443
      Kbw Asset Management, Inc. IAR $0
      Keefe, Bruyette & Woods, Inc. Broker-Dealer --
      Stifel Nicolaus Europe Limited -- --
      Stifel Nicolaus Insurance Agency Incorporated -- --
      Stifel Trust Co. N/A -- --
      Thomas Weisel Capital Management LLC IAR $2,945,665
      Thomas Weisel Global Growth Partners LLC IAR $343,199,295
      Trust Company -- --
      Washington Crossing Advisers LLC IAR $152,484,957
      Ziegler Capital Management, LLC IAR $10,664,898,714

        Leadership

        Ownership

        There is no ownership data available to display at this time.

        Executives and Control Persons

        Name Title Tenure Date % Ownership
        Ronald James Kruszewski Chairman, Ceo, President, And Director August, 2002 5% to 10%
        Mark Fisher General Counsel June, 2014 less than 5%
        Gina Elizabeth Hyde Cco Of Equity Capital Markets August, 2016 less than 5%
        Paul Joseph Ayd Chief Compliance Officer - Fixed Income Capital Markets May, 2015 less than 5%
        Garry Joseph Stegeland Chief Compliance Officer July, 2015 less than 5%
        Matt Richard Wischmeier Rosfp May, 2015 less than 5%
        John Gerald Olsen Chief Compliance Officer - Private Client Group May, 2015 less than 5%
        Stephen John Bushmann Chief Financial Officer March, 2014 less than 5%
        Allen Cor Brautigam Sr. V.P., Director Of Branches April, 2011 less than 5%
        Rita Stephanie Kazembe Cco Advisory Services March, 2011 less than 5%
        James Mark Zemlyak Coo And Director August, 2002 less than 5%
        Hugo John Iii Warns Director December, 2005 less than 5%
        Richard Jay Himelfarb Director December, 2005 less than 5%
        Thomas P Mulroy Director December, 2005 less than 5%
        David Dean Sliney Director August, 2002 less than 5%
        Thomas Richard Iv Kendrick Director August, 2002 less than 5%
        Michael Francis Imhoff Director August, 2002 less than 5%
        Douglas Wayne Noll Chief Operations Officer June, 1995 less than 5%
          Source: SEC

          Fees

          Types of Compensation Arrangements

          • Percentage Of Assets
          • Fixed Fees
          • Commissions