TrueAdvisor
TrueAdvisor
AF
AF

Adam Frankfort

Stifel, Nicolaus & Company, Incorporated
42 Years of Experience
New York, NY
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Adam Frankfort is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in New York, NY, with 42 years of industry experience. Adam is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 236,191 clients with $200B in assets under management.

Stifel, Nicolaus & Company, Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3352 advisors
Number of Clients
236,191 clients
Average Client Portfolio
$836K average
Assets Under Management
$197.5B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Maximum annual fee rate for the Summit Program is up to 1.00% of assets under management. Other programs have separate fee schedules detailed in respective program brochures. Fees are generally negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1095 Avenue of the Americas, 3rd & 4th Floors, New York, NY, 10036

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2018
Settled
Customer Dispute
May 2017
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
March 2023 - Present · 3 yrs 7 mos
Stifel, Nicolaus & Company, Incorporated
February 2023 - Present · 3 yrs 8 mos
Stifel, Nicolaus & Company, IncorporatedBroker
February 2023 - Present · 3 yrs 8 mos
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
February 2023 - February 2023 · 0 mos
Raymond James & Associates, INC.
June 2021 - March 2023 · 1 yr 9 mos
Raymond James & Associates, INC.Broker
September 2016 - March 2023 · 6 yrs 6 mos
Deutsche Bank Securities INC.Broker
June 2009 - September 2016 · 7 yrs 3 mos
RBC Capital Markets Corporation
November 2005 - June 2009 · 3 yrs 7 mos
RBC Capital Markets CorporationBroker
November 2002 - June 2009 · 6 yrs 7 mos
C.E. Unterberg, Towbin (a California Limited Partnership)Broker
October 1999 - November 2002 · 3 yrs 1 mo
Everen Securities, INC.Broker
February 1993 - October 1999 · 6 yrs 8 mos
Bear, Stearns & CO. INC.Broker
August 1989 - February 1993 · 3 yrs 6 mos
Painewebber IncorporatedBroker
January 1987 - August 1989 · 2 yrs 7 mos
Rooney, Pace INC.Broker
October 1985 - February 1987 · 1 yr 4 mos
Laidlaw Adams & Peck INC.Broker
April 1985 - October 1985 · 6 mos
Cralin & CO., INC.Broker
August 1984 - March 1985 · 7 mos
State Registrations22 states
AZCACTDCFLGAILKSMAMDMONCNHNJNYOHPASCTNTXVAVT
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in New York, NY →All financial advisors in New York →