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Stifel Nicolaus & Co Inc \mo\ Historical SEC 13F Holdings & Archive (Q3 2013)
Stifel Nicolaus & Co Inc \mo\CIK: 0000948905
Diversified strategyMomentum followerQuality / disciplined sizing
Total reported value
$6.0B
Reporting period: 2013-09-30 · Number of holdings: 1475
STIFEL NICOLAUS & CO INC \MO\ disclosed 1475 holdings in its latest 13F filing for the period ending 2013-09-30, with total reported value of $6.0B and a quarterly turnover rate of 27.7%.
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Personality snowflake
- Concentration
- 2.33
- Portfolio Stability
- 27.74
- Momentum
- 100
- Sector conviction
- 54.95
- Diversification
- 100
- Sizing Uniformity
- 72.43
Stifel Nicolaus & Co Inc \mo\'s disclosed holdings carry a Herfindahl concentration index of 0.006 — mathematically equivalent to about 172 equally-sized positions, well below its 1475 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 2.76), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 25% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govAdd SF
+4039.6% $99.2M
Trim Error
-56.3% -$59.1M
Add IEFA
+113.2% $46.2M
Trim LQD
-23.9% -$28.5M
Trim VEU
-86.7% -$29.0M
Add VCIT
+12614.3% $26.4M
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
Showing top 200 holdings (of 1475 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 3.90% | -0.21% | -0.82% | |
| 2 | MSFT | Microsoft CORP | Stock-Tech | 1.78% | +0.15% | +23.96% | |
| 3 | SF | Stifel Financial CORP | Stock-Financials | 1.68% | +1.64% | +4039.58% | |
| 4 | AAPL | Apple Inc | Stock-Tech | 1.55% | +0.18% | +3.47% | |
| 5 | LQD | Ishr Ibx Usd Invgd Cb Etf-ui | ETF-Corp Bonds | 1.50% | -0.66% | -23.88% | |
| 6 | IEFA | Ishares Core Msci Eafe ETF | ETF-Other | 1.32% | +0.72% | +113.20% | |
| 7 | INTC | Intel CORP | Stock-Tech | 1.27% | — | +4.45% | |
| 8 | SHY | Ishares 1-3 Year Treasury Bo | ETF-Gov Bonds | 1.11% | +0.03% | +12.35% | |
| 9 | MRK | Merck & Co. Inc. | Stock-Healthcare | 1.05% | — | +2.04% | |
| 10 | AEP | American Electric Power Company, Inc. | Stock-Utilities | 1.03% | +0.27% | +43.84% | |
| 11 | CVX | Chevron CORP | Stock-Energy | 0.94% | +0.01% | +8.40% | |
| 12 | IVE | Ishares S&p 500 Value ETF | ETF-Large Cap & Growth | 0.90% | +0.18% | +31.89% | |
| 13 | IVW | Ishares S&p 500 Growth ETF | ETF-Large Cap & Growth | 0.87% | +0.18% | +29.56% | |
| 14 | VWO | Vanguard Ftse Emerging Marke | ETF-Emerging Markets | 0.83% | +0.06% | +15.08% | |
| 15 | T | At&t Inc | Stock-Comm Services | 0.78% | — | +7.68% | |
| 16 | PM | Philip Morris International | Stock-Consumer Staples | 0.77% | +0.04% | +15.46% | |
| 17 | JNJ | Johnson & Johnson | Stock-Healthcare | 0.77% | -0.42% | -30.48% | |
| 18 | IWV | Ishares Russell 3000 ETF | ETF-Other | 0.72% | +0.14% | +28.49% | |
| 19 | PFE | Pfizer Inc | Stock-Healthcare | 0.70% | — | +3.02% | |
| 20 | XOM | Exxon Mobil CORP | Stock-Energy | 0.70% | — | +3.66% | |
| 21 | VZ | Verizon Communications Inc | Stock-Comm Services | 0.69% | — | +3.18% | |
| 22 | VIAB | Viacom Inc-class B | Stock-Other | 0.65% | +0.06% | -2.47% | |
| 23 | IWF | Ishares Russell 1000 Growth | ETF-Other | 0.63% | -0.29% | -30.75% | |
| 24 | CSCO | Cisco Systems Inc | Stock-Tech | 0.62% | — | -4.36% | |
| 25 | PG | Procter & Gamble Co/the | Stock-Consumer Staples | 0.62% | — | -1.21% | |
| 26 | KHC | The Kraft Heinz Company | Stock-Consumer Staples | 0.62% | — | +3.65% | |
| 27 | COP | Conocophillips | Stock-Energy | 0.60% | — | -3.61% | |
| 28 | ✓ | Tesoro CORP | Stock-Other | 0.59% | -1.13% | -56.28% | |
| 29 | WMT | Walmart Inc | Stock-Consumer Staples | 0.55% | — | +4.73% | |
| 30 | ✓ | Stock-Other | 0.55% | — | -5.99% | ||
| 31 | KMB | Kimberly-clark CORP | Stock-Consumer Staples | 0.55% | — | +5.66% | |
| 32 | UNH | Unitedhealth Group Inc | Stock-Healthcare | 0.54% | — | -0.66% | |
| 33 | VOD | Vodafone Group Public Limited Company | Stock-Comm Services | 0.54% | — | -1.58% | |
| 34 | PEP | Pepsico Inc | Stock-Consumer Staples | 0.54% | — | +3.62% | |
| 35 | EFA | Ishares Msci Eafe ETF | ETF-Other | 0.53% | — | +2.68% | |
| 36 | TTEN | Totalenergies Se -spon Adr | Stock-Other | 0.52% | -0.28% | -40.32% | |
| 37 | HYG | Ishr Ibx Usd Hiyld Cb Etf-ui | ETF-High Yield | 0.50% | +0.14% | +53.39% | |
| 38 | TEVA | Teva Pharmaceutical-sp Adr | Stock-Healthcare | 0.50% | — | +1.52% | |
| 39 | QCOM | Qualcomm Inc | Stock-Tech | 0.50% | +0.09% | +20.64% | |
| 40 | GOOG | Alphabet Inc. | Stock-Comm Services | 0.50% | — | -4.18% | |
| 41 | DOW | Dow Inc. | Stock-Materials | 0.49% | +0.06% | +6.40% | |
| 42 | ORCL | Oracle CORP | Stock-Tech | 0.49% | +0.26% | +115.95% | |
| 43 | ATI | Ati Inc | Stock-Industrials | 0.47% | +0.06% | +9.23% | |
| 44 | WFC | Wells Fargo & Co | Stock-Financials | 0.47% | — | +3.08% | |
| 45 | MCD | Mcdonald's CORP | Stock-Consumer Disc | 0.47% | — | -1.70% | |
| 46 | IWD | Ishares Russell 1000 Value E | ETF-Other | 0.47% | -0.33% | -37.47% | |
| 47 | WM | Waste Management Inc | Stock-Industrials | 0.46% | — | +11.18% | |
| 48 | STX | Seagate Technology Holdings plc | Stock-Tech | 0.45% | — | +6.85% | |
| 49 | CTLEUR | Centurylink Inc | Stock-Other | 0.44% | — | -6.21% | |
| 50 | MBB | Ishares Mbs ETF | ETF-Other | 0.44% | — | -0.02% |
1–50 of 200
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
Holding changes this quarter
Stifel Nicolaus & Co Inc \mo\'s most significant position changes for 2013-09-30: New buy: Nabors Industries Ltd. (NBR); New buy: Ishares Core Msci Emerging (IEMG); New buy: Vanguard Mid-cap Growth ETF (VOT); New buy: Vanguard Mid-cap Value ETF (VOE); Sold out: Wisdomtree Europe Hedged Equ (HEDJ).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | SF | Stifel Financial CORP | +1.6% | +4039.58% | Add |
| 2 | IEFA | Ishares Core Msci Eafe ETF | +0.7% | +113.20% | Add |
| 3 | VCIT | Vanguard Int-term Corporate | +0.4% | +12614.27% | Add |
| 4 | BMO | Bank Of Montreal | +0.4% | +5220.81% | Add |
| 5 | SGOL | abrdn Physical Gold Shares ETF | +0.3% | +11811.47% | Add |
| 6 | AEP | American Electric Power Company, Inc. | +0.3% | +43.84% | Add |
| 7 | ORCL | Oracle CORP | +0.3% | +115.95% | Add |
| 8 | AAPL | Apple Inc | +0.2% | +3.47% | Add |
| 9 | IVE | Ishares S&p 500 Value ETF | +0.2% | +31.89% | Add |
| 10 | IVW | Ishares S&p 500 Growth ETF | +0.2% | +29.56% | Add |
| 11 | MSFT | Microsoft CORP | +0.2% | +23.96% | Add |
| 12 | ✓ | Powershares | +0.2% | +615.92% | Add |
| 13 | IWV | Ishares Russell 3000 ETF | +0.1% | +28.49% | Add |
| 14 | HYG | Ishr Ibx Usd Hiyld Cb Etf-ui | +0.1% | +53.39% | Add |
| 15 | BUD | Anheuser-busch Inbev-spn Adr | +0.1% | +46.63% | Add |
| 16 | CL | Colgate-palmolive Co | +0.1% | +156.08% | Add |
| 17 | TLT | Ishares 20+ Year Treasury Bd | +0.1% | +57.51% | Add |
| 18 | IWM | Ishares Russell 2000 ETF | +0.1% | +39.45% | Add |
| 19 | QCOM | Qualcomm Inc | +0.1% | +20.64% | Add |
| 20 | FLOT | Ishares Floating Rate Bond E | +0.1% | +35.12% | Add |
| 21 | VWO | Vanguard Ftse Emerging Marke | +0.1% | +15.08% | Add |
| 22 | VIAB | Viacom Inc-class B | +0.1% | -2.47% | Trim |
| 23 | DOW | Dow Inc. | +0.1% | +6.40% | Add |
| 24 | ATI | Ati Inc | +0.1% | +9.23% | Add |
| 25 | PM | Philip Morris International | 0% | +15.46% | Add |
| 26 | SHY | Ishares 1-3 Year Treasury Bo | 0% | +12.35% | Add |
| 27 | CVX | Chevron CORP | 0% | +8.40% | Add |
| 28 | F | Ford Motor Co | -0.1% | -34.03% | Trim |
| 29 | IWO | Ishares Russell 2000 Growth | -0.2% | -66.34% | Trim |
| 30 | IWN | Ishares Russell 2000 Value E | -0.2% | -64.45% | Trim |
| 31 | SPY | Ss Spdr S&p 500 ETF Trust-us | -0.2% | -0.82% | Trim |
| 32 | FDX | Fedex CORP | -0.2% | -67.33% | Trim |
| 33 | GLD | Spdr Gold Shares | -0.2% | -38.96% | Trim |
| 34 | BSV | Vanguard Short-term Bond ETF | -0.3% | -87.67% | Trim |
| 35 | TTEN | Totalenergies Se -spon Adr | -0.3% | -40.32% | Trim |
| 36 | IWF | Ishares Russell 1000 Growth | -0.3% | -30.75% | Trim |
| 37 | IWD | Ishares Russell 1000 Value E | -0.3% | -37.47% | Trim |
| 38 | IEF | Ishares 7-10 Year Treasury B | -0.4% | -85.16% | Trim |
| 39 | JNJ | Johnson & Johnson | -0.4% | -30.48% | Trim |
| 40 | VEU | Vanguard Ftse All-world Ex-u | -0.5% | -86.69% | Trim |
| 41 | LQD | Ishr Ibx Usd Invgd Cb Etf-ui | -0.7% | -23.88% | Trim |
| 42 | ✓ | Tesoro CORP | -1.1% | -56.28% | Trim |
| 43 | NBR | Nabors Industries Ltd. | — | NEW | New buy |
| 44 | IEMG | Ishares Core Msci Emerging | — | NEW | New buy |
| 45 | VOT | Vanguard Mid-cap Growth ETF | — | NEW | New buy |
| 46 | VOE | Vanguard Mid-cap Value ETF | — | NEW | New buy |
| 47 | HEDJ | Wisdomtree Europe Hedged Equ | — | EXIT | Sold out |
| 48 | ACCUSD | American Campus Communities | — | NEW | New buy |
| 49 | KNX | Knight-Swift Transportation Holdings Inc. | — | NEW | New buy |
| 50 | GPOR1EUR | Gulfport Energy CORP | — | NEW | New buy |
Filing History
FAQ
What is Stifel Nicolaus & Co Inc \mo\ and what type of investor is it?
Stifel Nicolaus & Co Inc \mo\ is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2013-09-30), the firm manages a tracked equity portfolio valued at approximately $6.0B, spread across 1475 disclosed positions.
What are Stifel Nicolaus & Co Inc \mo\'s largest equity positions?
Based on the latest 13F filing, Stifel Nicolaus & Co Inc \mo\'s top holdings by market value are:
1. Ss Spdr S&p 500 ETF Trust-us (SPY) — $235.9M (3.9%)
2. Microsoft CORP (MSFT) — $107.5M (1.8%)
3. Stifel Financial CORP (SF) — $101.3M (1.7%)
4. Apple Inc (AAPL) — $93.9M (1.6%)
5. Ishr Ibx Usd Invgd Cb Etf-ui (LQD) — $90.5M (1.5%)
What changes did Stifel Nicolaus & Co Inc \mo\ make in its most recent portfolio filing?
In the latest reported quarter, Stifel Nicolaus & Co Inc \mo\ made 50 notable position adjustments: 7 new positions were initiated, 26 existing holdings were added to, 16 positions were partially reduced, and 1 were completely exited. The largest of these moves: New buy: Nabors Industries Ltd. (NBR); New buy: Ishares Core Msci Emerging (IEMG); New buy: Vanguard Mid-cap Growth ETF (VOT); New buy: Vanguard Mid-cap Value ETF (VOE); Sold out: Wisdomtree Europe Hedged Equ (HEDJ)
What sectors does Stifel Nicolaus & Co Inc \mo\ focus on?
Stifel Nicolaus & Co Inc \mo\ is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 31.5%
• Health Care: 18.6%
• Consumer Staples: 15.5%
• Energy: 10.5%
• Financials: 7.7%
• Communication Services: 7.6%
Investment Profile
Stifel Nicolaus & Co Inc \mo\'s portfolio is broadly diversified and moderately active, with 31.5% of the portfolio concentrated in Information Technology.
Its turnover score has risen from 0 to 28 over the past 1 quarters — a shift toward more active trading.
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