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Stifel Financial Corp. filings document formal disclosures for a financial-services company with common stock, preferred depositary shares, and senior notes registered on the New York Stock Exchange. Recent 8-K reports furnish quarterly results, financial supplements, conference-call materials, selected operating results, and Regulation FD disclosures covering client assets, banking balances, loans, and other operating metrics.
The filing record also includes proxy materials and capital-structure disclosures. Stifel reports depositary shares representing interests in Series B, Series C, and Series D preferred stock, 5.20% Senior Notes due 2047, common stock, and credit arrangements involving Stifel Nicolaus & Company, Incorporated and bank lenders, alongside governance and shareholder-meeting materials filed on Schedule 14A.
STIFEL FINANCIAL CORP President James M. Zemlyak received grants of Phantom Stock Units tied to the company’s common stock. On February 27, 2026, he acquired 25,388 Phantom Stock Units at $74.05 per unit, bringing this award account to 119,887 units, and a separate 13,504-unit grant at the same reference price, bringing that account to 133,391 units.
According to the footnotes, one grant vests in 20% increments over five years with no expiration date, and the other vests in 10% increments over ten years. The totals have been adjusted to reflect a 3-for-2 stock split payable on February 26, 2026. As of the same date, Zemlyak also reported 1,756,080 shares of common stock held directly, plus indirect holdings of 10,608 shares held by his son and 632 shares held by his wife.
Stifel Financial Corp. reported selected operating data as of January 31, 2026, highlighting record client asset levels. Total client assets were $561,061 million, up 10% year over year and 2% from December 31, 2025, driven by market appreciation and net inflows.
Fee-based client assets reached $229,423 million, a 16% year-over-year increase and 2% above year-end, with Private Client Group fee-based assets up 17% year over year. Treasury deposits rose 70% from the prior year to $9,139 million, while client money market and insured products declined 7% year over year to $25,911 million and 3% from year-end due to seasonal factors.
Bank loans, net were $22,311 million, up 6% from January 31, 2025, and down less than 1% from year-end, which management described as typical early-year seasonality. The company emphasized that these are limited metrics and that a consistent correlation to earnings should not be assumed.
Stifel Financial Corp. is a Delaware-based financial holding company with a 135-year history, offering wealth management, institutional brokerage, investment banking, and retail and commercial banking through subsidiaries in the U.S., U.K., Europe, and Canada. Its principal broker-dealer is Stifel, Nicolaus & Company.
The firm has more than 2,200 financial advisors in 402 branches, over 9,000 associates, and client assets that reached $551.9 billion as of December 31, 2025. It has expanded through acquisitions, including Finance 500 and CB Resource in 2024, and B. Riley’s wealth unit and Bryan, Garnier & Co. in 2025.
Stifel operates in three segments—Global Wealth Management, Institutional Group, and Other—supported by Stifel Bancorp’s banking platform. The filing emphasizes a client-first culture, human capital investment, disciplined acquisitions, and detailed regulatory, capital, liquidity, market, credit, and operational risk disclosures that highlight how macroeconomic conditions and competition could affect its business.
Stifel Financial Corp Chief Executive Officer Ronald J. Kruszewski reported multiple equity-related transactions involving company securities. He acquired 92,453 Phantom Stock Units as a grant tied to a PRSU award agreement dated February 18, 2022, with 80 percent vested and 20 percent vesting in one year. He also exercised 73,963 Phantom Stock Units, receiving 73,963 shares of common stock, and then disposed of 32,581 common shares at $120.49 per share to cover tax obligations through share withholding.
Stifel Financial Corp Chief Operating Officer David D. Sliney reported several equity award transactions involving company stock and phantom units. He acquired 13,868 Phantom Stock Units as a grant based on a PRSU award agreement dated February 18, 2022, with 80 percent vested and 20 percent vesting in one year. He also exercised 11,094 Phantom Stock Units, converting them into 11,094 shares of Common Stock. To cover tax obligations related to the exercise, 4,887 shares of Common Stock were disposed of through a tax-withholding transaction at a price of $120.49 per share.
Stifel Financial Corp senior vice president Thomas B. Michaud reported equity compensation transactions involving phantom stock units and common shares. He received 20,224 phantom stock units under a PRSU award dated February 18, 2022, of which 80% are vested and 20% will vest in one year. He also exercised 16,179 phantom stock units into 16,179 shares of common stock, with 7,983 of those common shares withheld at a price of $120.4900 per share to cover tax obligations.
Stifel Financial Corp President James M. Zemlyak reported multiple equity transactions involving company stock and phantom stock units. He received a grant of 39,293 Phantom Stock Units at no cost, tied to a PRSU award agreement from February 18, 2022, with most units already vested and the remainder vesting in one year.
He also exercised 31,434 Phantom Stock Units, converting them into 31,434 shares of common stock. To cover tax obligations related to this activity, 13,847 shares of common stock were disposed of at a price of $120.49 per share through a tax-withholding mechanism rather than an open-market sale.
After these transactions, Zemlyak directly holds 1,170,720 shares of Stifel common stock. In addition, there are indirect holdings reported as 7,072 shares held by his son and 421 shares held by his wife.
STIFEL FINANCIAL CORP director Victor Nesi reported equity compensation and related share movements. He received 46,227 Phantom Stock Units based on a performance RSU award agreement dated February 18, 2022, with 80% currently vested and the remaining 20% vesting in one year.
On the same date, 36,981 Phantom Stock Units were exercised into 36,981 shares of common stock, described as currently exercisable. To cover the exercise price or tax liability, 18,879 common shares were disposed of at $120.49 per share, leaving 165,047 common shares held directly.
He also reported indirect ownership of common stock through trusts, including 41,975 shares held by a trust, 31,000 shares held by a family trust, and 44,232 shares held by a children’s trust.
Stifel Financial Corp Senior VP & General Counsel Mark P. Fisher reported several equity-related transactions on phantom stock units and common stock. He received a grant of 9,823 Phantom Stock Units based on a PRSU award agreement dated February 18, 2022; 80% are vested and 20% will vest in one year.
He also exercised 7,859 Phantom Stock Units, converting them into 7,859 shares of Common Stock, and disposed of 4,241 shares of Common Stock at $120.49 per share to satisfy tax obligations through share withholding. Following these transactions, he directly holds 26,877 Phantom Stock Units and 54,651 shares of Common Stock.
STIFEL FINANCIAL CORP executive Christopher K. Reichert, CEO of Stifel Bank & Trust, reported several stock-based compensation transactions. He received a grant of 9,245 Phantom Stock Units tied to a PRSU award agreement dated February 18, 2022, of which 80 percent are vested and the remaining 20 percent will vest in one year. He also exercised 7,396 Phantom Stock Units, converting them into 7,396 shares of common stock held indirectly by a trust. In a related move, 3,261 common shares held by the trust were disposed of at $120.49 per share to satisfy tax withholding obligations rather than as an open-market sale.