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Original filing (PDF)20250715094029NAL0001947169001
STIFEL FINANCIAL CORP.
Form 5500
FILING_RECEIVED
STIFEL FINANCIAL PROFIT SHARING 401(K) PLAN
401(k) retirement plan
Active participants
8,303
Accounts w/ balance
10,083
Plan assets (EOY)
$2.3B
Net assets (EOY)
$2.3B
How this plan invests
This plan
12 pooled trusts
Schedule D
27 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
100
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
100
Vendor stack
100
Participation health
100
Helping the score
- Below-peer total fees (2 bps vs 5 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for STIFEL FINANCIAL CORP..
Plan sponsor
Name
STIFEL FINANCIAL CORP.
EIN
43-1273600
Address
501 N. BROADWAY 11TH FLOOR · ST LOUIS, MO · 63102
Phone
(314) 342-2000
Industry
Finance & Insurancesee all
Plan administrator
Name
STIFEL ADMINISTRATIVE COMMITTEE
EIN
33-3447200
City
ST. LOUIS, MO
Phone
(314) 342-2000
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-07-15
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
FORVIS MAZARS, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | 06-1050034 | GREENWOOD VILLAGE, CO | RECORDKEEPER | $363K | — |
Accountant / Auditor
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FORVIS MAZARS, LLP | 44-0160260 | SPRINGFIELD, MO | AUDITOR | $31K | — |
Investments
15 direct securities · 12 pooled funds· $2.3B(99% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Uncategorized
$1.3B
15 holdings
Pooled Separate Account
$1.0B
12 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Vanguard Institutional Index Fund 553,939 shares | — | — | $553.9M | $265.3M | 11.4% | |
| Empower Guaranteed Income Fund 3,562,303 units | — | — | $3.6B | $214.2M | 9.2% | |
| Stifel Financial Corp. common stock 1,773,184 shares | — | — | $1.8B | $188.1M | 8.1% | |
| LARGE CAP VALUE (SUB-ADV BY WELLING EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 184 | Pooled Separate Account | — | $3.2B | $164.1M | 7.1% | |
| LARGE CAP GROWTH / AMERICAN CENTURY EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 253 | Pooled Separate Account | — | $2.8B | $160.7M | 6.9% | |
| Fidelity Contrafund - K6 4,881,780 shares | — | — | $4.9B | $151.8M | 6.5% | |
| CAPITAL GROUP EUROPACIFIC GROWTH SA CAPITAL BANK AND TRUST · EIN 95-6597294 / PN 661 | Pooled Separate Account | — | $13.7B | $151.5M | 6.5% | |
| American Funds The Growth Fund of America - R6 1,909,441 shares | — | — | $1.9B | $142.3M | 6.1% | |
| American Funds Investment Company of America - R6 2,276,929 shares | — | — | $2.3B | $131.3M | 5.7% | |
| SMALL CAP GROWTH / TIMESSQUARE FUND EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 132 | Pooled Separate Account | — | $729.5M | $116.5M | 5.0% | |
| SMALL CP VAL / SILVERCREST ASSET MN EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 126 | Pooled Separate Account | — | $981.6M | $91.0M | 3.9% | |
| MID CAP GROWTH / ARTISAN PARTNERS F EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 185 | Pooled Separate Account | — | $945.0M | $73.4M | 3.2% | |
| DAY ONE INCOMEFLEX TARGET BALANCED EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 697 | Pooled Separate Account | — | $2.5B | $70.3M | 3.0% | |
| CORE PLUS BOND / PGIM FUND EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 299 | Pooled Separate Account | — | $2.4B | $64.2M | 2.8% | |
| MID CAP VAL (SUB-ADV BY WELLINGTON EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 187 | Pooled Separate Account | — | $650.1M | $57.6M | 2.5% | |
| American Funds The Bond Fund of America - R6 3,865,805 shares | — | — | $3.9B | $43.1M | 1.9% | |
| PGIM Real Assets Fund - R6 3,602,939 shares | — | — | $3.6B | $33.0M | 1.4% | |
| Self-directed brokerage accounts Various | — | — | — | $28.6M | 1.2% | |
| Invesco Developing Markets Fund - R6 616,293 shares | — | — | $616.3M | $23.4M | 1.0% | |
| INTERNATIONAL VALUE / LSV ASSET MNG EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 415 | Pooled Separate Account | — | $1.0B | $22.9M | 1.0% | |
| INTERNATIONAL BOND PLUS / PIMCO FUN EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 790 | Pooled Separate Account | — | $1.6B | $22.8M | 1.0% | |
| INTERNATIONAL GROWTH / ARTISAN PART EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 259 | Pooled Separate Account | — | $630.2M | $22.0M | 0.9% | |
| Vanguard Total Bond Market Index Fund 1,926,552 shares | — | — | $1.9B | $18.3M | 0.8% | |
| Vanguard Small-Cap Index Fund Institutional Shares 146,526 shares | — | — | $146.5M | $16.9M | 0.7% | |
| Participant loans through 2034 | — | — | — | $14.4M | 0.6% | |
| Vanguard Mid-Cap Index Fund Institutional Shares 163,059 shares | — | — | $163.1M | $11.8M | 0.5% | |
| Vanguard Total Intl Stock Index Admiral Shares 201,342 shares | — | — | $201.3M | $6.4M | 0.3% |