Stifel and Stifel Independent Advisors, LLC (Stifel Independent Advisors) are
committed to assisting you as a responsible plan fiduciary in your assessment of
the reasonableness of compensation paid for services rendered to your plan. Stifel
has designed this website with the goal of providing you the information
you need. In order to begin this process, you will need to know how the investment
program used by your plan is structured. There are three types of investment program
structures (also called “platforms”) available to retirement plans through Stifel.
Please read the descriptions of the platforms below and click on the link that
applies to your plan's investment program.
STIFEL BROKERAGE ACCOUNT(S): Under this investment program structure, a brokerage
account(s) is/are opened directly with Stifel. A variety of investment
securities are available to the account(s), including but not limited to mutual
funds, stocks, bonds, ETFs, UITs, etc. If you have or will open a brokerage account
or accounts directly with Stifel, click here for details.
MUTUAL FUND PLATFORM – BROKERAGE-ONLY SERVICES: Under this investment program structure, mutual funds and
collective trusts are the only investments offered, and an account is opened directly
with a mutual fund company or third-party recordkeeper and Stifel provides education-only and other brokerage services.
Click here for details.
INSURANCE COMPANY PLATFORM: Under this investment program structure, a group annuity
contract, group funding agreement, or other insurance company-issued contract is
established directly with an insurance company recordkeeper and Stifel provides education-only and other brokerage services. Within such an annuity
or funding contract, the insurance company provides a specific menu of mutual funds
or separate accounts for investment. Click here for details.
INVESTMENT ADVISORY SERVICES: Under these arrangements, Stifel provides investment
advisory services with respect to plan assets that may be held at Stifel or through other custodians
or platforms. Click here for details on Stifel’s investment advisory services, and refer to Stifel’s
Form ADV 2A Disclosure Brochures for applicable 408(b)2 disclosures when Stifel is acting in a fiduciary capacity.