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Institutional Advisory

 

We Help You Manage Your Portfolio to Your Specifications

We are committed to a relationship with you that is based on objectivity and transparency for pricing and guidance.

Our planning approach is designed to help us understand your needs, agree on goals, and establish the appropriate implementation approaches.

That plan creates the framework for investment management that is aligned with your interests and goals, and establishes the basis for evaluating progress over time.

 

Our Client-Centric Approach

   

Consultative Guidance

  • Long-term strategic and short-term tactical

  • Objective implementation recommendations

    
         

Convenience

  • Streamlined client documentation

  • Facilitates ease of investing and rebalancing

  

Your interests are at the
core of our approach

  

Customization

  • Individualized, bespoke investment plans

  • Broad offerings facilitate selectivity

  • Unique investment implementation
         
   

Confidence

  • Investment plan design that is implementation agnostic

  • Integrates research views and insights from Stifel and our KBW affiliate

    

 

 

Our Open Architecture Platform

Our due diligence consists of fundamental and quantitative research and covers exchange traded funds (ETFs), mutual funds, separately managed accounts, and alternative funds.

Our approach to manager due diligence is designed to create broad access to a diverse array of investment options.

That breadth supports our ability to help clients implement their specific investment plan.

 

Research & Key Characteristics

Separately Managed Accounts   Mutual Funds   ETFs  

Alternatives

  • Recommended list of 81 SMAs across 28 global sub-asset classes

  • Recommended list is published quarterly

  

  • Recommended list of 186 mutual funds across 39 global sub-asset classes

  • Recommended list is published monthly

  • Dealer agreements with 300 mutual fund companies offering advisory-eligible share classes

  • Dealer agreements with 375+ mutual fund companies for brokerage

  

  • Recommended list of 133 ETFs across 43 global market segments

  • Over 1,400 ETFs available across 58 market segments

  

  • Dedicated research team for hedge funds, private equity funds, and managed futures funds

  • Traditional Product Research

 

Our Asset Allocation Guidance

We seek to add value to our clients' investment results through our strategic asset allocation, dynamic asset allocation, and implementation guidance.

Our strategic asset allocation guidance provides choices for two types of objectives:  strategies focused on an investors' return needs, and strategies focused on an investors' ability and willingness to take risk.

 

Our Approach:  Our Views + Tailoring to Your Needs

Our Strategic Asset Allocation (SAA)

   Our Dynamic Asset Allocation (DAA)   An Allocation Tailored to You

 

  • 4 asset classes; 17 sub-asset classes

  • 6 risk profiles

  • Discrete models for Tax-Exempt versus Taxable investors

  • Discrete models for Qualified Purchasers versus Accredited Investors

  • Based on 20-year outlook

  • Reviewed annually

  • Developed by a committee

 

  

 

  • Leanings from our strategic asset allocation (SAA) mixes.

  • Dynamically adjusted

  • Typically reflects 3- to 36-month outlook

  • Actively monitored

  • Led by Stifel Investment Strategy

 

  

 

  • Choice to use SAA or DAA guidance

  • Our advisors and Portfolio Solutions team can tailor the allocation for each portfolio to reflect the client's needs:

  • Growth vs. income

  • Investment objectives

  • Tax considerations

  • Client Financial ID profile

 

 

Note:  The recommendations made for your actual portfolio will differ from any asset allocation or strategies outlined in this document. The model portfolios are not available to investors, since they represent investment ideas that are general in nature and do not include fees. Your asset allocation will be customized to your preferences and risk tolerance, and you will be charged a range of fees that will be based on the specific products and services chosen. You should ensure that your portfolio is updated or redefined when your investment objectives or personal circumstances change.  Asset allocation does not ensure a profit or protection against loss.

Mutual funds and exchange traded funds (ETFs) are offered by prospectus only.  Investors should consider a fund's investment objective, risks, charges, and expenses carefully before investing.  The prospectus, which contains this and other important information, is available from your Financial Advisor and should be read carefully before investing.  The investment return and principal value of an investment will fluctuate, so that an investor's shares, when redeemed, may be worth more or less than their original cost.  ETFs trade like a stock and may trade for less than their net asset value.  There will be brokerage commissions associated with buying and selling exchange traded funds unless trading occurs in a fee-based account.  

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.