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Sophisticated Products & Services

Built for High-Net-Worth Investors

The Investment Strategy team continuously assesses the global investing landscape and develops resulting investment conclusions. They make it a priority to communicate investment outlook and interpretation of events, and strive to keep you informed on a frequent and regular basis.

Our proprietary Stifel Financial ID uses behavioral finance concepts to help you determine your personal investing style and pursue your goals in a manner that’s consistent with your natural inclinations.

Stifel’s Portfolio Solutions team is available to assist your Financial Advisor on larger, more  complex situations that require expertise and often considerable time to formulate customized strategies for your unique circumstances. They can serve as an extension of your Financial Advisor by bringing unique insights from across the Stifel organization, as well as offering assistance with customized portfolio construction, portfolio rebalancing, and investment manager analysis. Stifel’s Consulting Services Group consists of more than 100 management, marketing, due diligence, and operational professionals who help provide world-class investment management solutions for our institutional and high-net-worth clients.

We offer a deep, high-conviction roster of alternative investments, backed by rigorous due diligence and ongoing monitoring. Stifel’s offerings include:
  • Hedge Funds – Our investment strategies consist of equity long/short, event driven, relative value, global macro, and managed futures.
  • Private Assets – We employ a number of strategies, including real estate, direct lending, distressed credit, secondaries, and buyouts.
  • Long-Only LPs – Stifel is the investment adviser to a series of private investment funds called the Cardinal Advisor Series Funds.

We have the capability to construct customized investments for a variety of strategic investment objectives, such as leveraged upside, enhanced yield, or capital preservation. Structured investments can be designed around a market theme, the firm strategic view, or your personal view. We offer solutions that can be utilized to gain exposure to markets, asset classes, and investment strategies not otherwise easily accessible to most investors, as well as provide greater portfolio diversification. Our team works with best-in-class issuers to obtain best execution, pricing, and access to diverse strategic and tactical ideas. Strategic alignment, open architecture, tailored investment strategies, portfolio allocation, and focus on the client are the hallmarks of our approach to structured investments.

Stifel clients benefit from our affiliates being part of a world-class financial institution with tremendous resources while, at the same time, maintaining the independence that allows each manager to focus on its proven strengths. Together as a group, with common leadership and business vision, we provide the next generation of investment management that can be catered to address your needs.

Our team can help you navigate the complex rules and regulations pertaining to your company shares and stock options. The services CES provides include:
  • Sales of Control and Restricted Stock
  • Rule 10b5-1 Plans
  • Lending on Control Stock
  • Stock Option Financing

Stifel provides banking and lending delivered through your trusted Financial Advisor. Stifel Bank & Trust has developed innovative lending solutions to help you address your short- and long-term liquidity and financing needs. Many of our lending options are based on securities in your Stifel account. A broad range of eligible assets may be pledged as collateral, leveraging their combined value while keeping your investment strategies on track.

 

Asset allocation does not ensure a profit or protect against loss.

Alternative investments involve a high degree of risk, often engage in leveraging and other speculative investment practices that may increase the risk of investment loss, can be highly illiquid, are not required to provide periodic pricing or valuation information to investors, may involve complex tax structures and delays in distributing tax information, are not subject to the same regulatory requirements as more traditional investments, and often charge high fees, which may erode performance. An investment is appropriate only for investors who have the capacity to absorb a loss of some or all of their investment.

Structured investments can be an integral part of a well-diversified portfolio and an important complement to traditional investments. Recommendations of structured investments are subject to alignment of the client’s investing needs with the specific features offered and the client’s ability and willingness to bear the liquidity and issuer-default risks that may be associated with a particular investment.

Stifel’s banking and lending services are provided by Stifel Bank and Stifel Bank & Trust (collectively Stifel Banks). Stifel Bank, Member FDIC, Equal Housing Lender, NMLS# 451163, is affiliated with Stifel Bank & Trust, Member FDIC, Equal Housing Lender, NMLS# 375103. All are wholly owned subsidiaries of Stifel Financial Corp. and affiliates of Stifel, Nicolaus & Company, Incorporated, Member SIPC & NYSE. Unless otherwise specified, references to Stifel may mean Stifel Financial Corp. and/or any of its subsidiaries. Unless otherwise specified, products purchased from or held by Stifel are not insured by the FDIC, are not deposits or other obligations of Stifel Banks, are not guaranteed by Stifel Banks, and are subject to investment risk, including possible loss of the principal. Neither Stifel Banks nor affiliated companies provide legal or tax advice.


Understanding Stifel Pledged Asset (SPA) Loans:

Speak with your Financial Advisor about your risk tolerance level, market fluctuations, and specifically the potential risks associated with a Stifel Pledged Asset (SPA) Line of Credit.
Securities-based lines of credit involve risk and are not appropriate for all borrowers. The SPA Line of Credit is a full recourse, demand loan using the assets in a brokerage account as collateral and can be called at any time. An increase in interest rates will affect the overall cost of borrowing. The return on your securities must be higher than your financing cost in order for you generate a positive return in your securities account. The market value of your securities may decline, which may result in the value of that collateral no longer covering an outstanding loan amount. In either event, the borrower may be required to post additional collateral and/or repay part or all of any outstanding loan. Stifel Bank & Trust may call the loan, and sell or force the sale of the assets in the collateral account, or any other collateral, without contacting the borrower. The borrower will not be able to select which securities will be sold. The borrower can lose more assets than the borrower is required to deposit in the collateral account. The borrower is responsible for satisfying any amount not covered by the collateral. The borrower is not entitled to an extension of time to meet a collateral maintenance call.
If collateral is sold, this could result in an unfavorable tax event for the borrower. Neither Stifel nor our affiliates provide legal or tax advice. Borrowers should consult with their legal and tax advisors.
Learn more about the potential risks involved with securities-based lending: www.stifel.com/Lending#Disclosures