Jefferies Investment Advisers LLC

Registered investment adviser · New York, NY · CRD #325421

Form ADV data as of 2026-09-01

Regulatory assets

$5.15 billion

Total accounts

2,020

Employees

119

Disclosure events

Firm details

Website: https://www.jefferies.com
Telephone: 212-284-2300
SEC file number: 801-127656
Most recent Form ADV filing: 2026-06-22
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 1 disclosure question answered Yes, covering 1 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

A self-regulatory organization expelled, suspended, barred, or restricted the firm

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$4.69 billion
Non-discretionary regulatory assets under management	$466.9 million
Total regulatory assets under management	$5.15 billion
Discretionary accounts	1,735
Non-discretionary accounts	285
Total accounts	2,020
Regulatory assets under management attributable to non-U.S. persons	$911.6 million

People

Total employees (excluding clerical)	119
Employees performing investment advisory functions (including research)	107
Employees who are registered representatives of a broker-dealer	119
Employees registered as investment adviser representatives with a state	117
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	15
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered security-based swap dealerCommodity pool operator or commodity trading advisorFutures commission merchantInsurance company or agencyReal estate broker or dealerSponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Executes agency cross transactions involving advisory client securities
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	1,649	$2.07 billion
Pension and profit sharing plans (not the participants or government plans)	30	$21.3 million
Sovereign wealth funds and foreign official institutions	1	$3.2 million
Corporations or other businesses not listed above	340	$3.06 billion