{
  "crd_number": 107097,
  "slug": "steele-capital-management-inc-dubuque-ia-107097",
  "primary_business_name": "STEELE CAPITAL MANAGEMENT, INC.",
  "legal_name": "STEELE CAPITAL MANAGEMENT, INC.",
  "dbas": [],
  "city": "Dubuque",
  "state": "IA",
  "country": "United States",
  "cbsa_code": "20220",
  "metro": {
    "cbsa_code": "20220",
    "common_name": "Dubuque",
    "msa_name": "Dubuque, IA",
    "path": "/advisors/ia/dubuque"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1995-11-17",
  "years_registered": 30,
  "period": "2026-10-01",
  "filing_date": "2026-08-26",
  "carried_forward": false,
  "raum_total": 3547339793.0,
  "raum_discretionary": 3506818278.0,
  "raum_non_discretionary": 40521515.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 15,
  "advisory_employees": 13,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 9662115.0,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 387591635.0,
      "count": 939
    },
    "pension_profit_sharing": {
      "raum": 852738420.0,
      "count": 103
    },
    "high_net_worth_individuals": {
      "raum": 2271382021.0,
      "count": 582
    },
    "corporations_other_businesses": {
      "raum": 25965602.0,
      "count": 20
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "FL",
    "GA",
    "IA",
    "IL",
    "IN",
    "LA",
    "MI",
    "MN",
    "MO",
    "NC",
    "NE",
    "NH",
    "NY",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "WI"
  ],
  "websites": [
    "https://linkedin.com/COMPANY/STEELE-CAPITAL-MANAGEMENT-INC-",
    "https://steelecapital.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107097",
  "city_as_filed": "DUBUQUE",
  "url": "https://advisorcensus.com/firm/steele-capital-management-inc-dubuque-ia-107097",
  "display_name": "Steele Capital Management, Inc.",
  "summary": "Steele Capital Management, Inc. is an SEC-registered investment advisory firm in Dubuque, IA, registered since 1995, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated August 26, 2026.",
  "citation": "AdvisorCensus. Steele Capital Management, Inc. (CRD 107097): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Steele Capital Management, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Steele Capital Management, Inc. reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does Steele Capital Management, Inc. charge?",
      "a": "Its Form ADV Part 2A brochure dated March 18, 2026 states: Hourly rate: $100 to $450 an hour (selected services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Steele Capital Management, Inc. located?",
      "a": "Steele Capital Management, Inc.'s principal office is in Dubuque, IA, according to its Form ADV; the September 2026 filing also lists 2 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Steele Capital Management, Inc. registered with the SEC or a state?",
      "a": "Steele Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 1995. Status as filed: Approved. CRD 107097."
    },
    {
      "q": "How much does Steele Capital Management, Inc. manage?",
      "a": "Steele Capital Management, Inc. reports $3,547,339,793 in regulatory assets under management in its Form ADV filing dated August 26, 2026 (99% discretionary)."
    },
    {
      "q": "How have Steele Capital Management, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Steele Capital Management, Inc.: Regulatory assets under management: $2,458,650,101 in the October 2021 data and $3,547,339,793 in the October 2026 data, up 44%. Total employees: 11 in October 2021 and 15 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Steele Capital Management, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (939); high net worth individuals (582); pension and profit sharing plans (but not the plan participants or government pension plans) (103)."
    },
    {
      "q": "Which custodians does Steele Capital Management, Inc. use?",
      "a": "Steele Capital Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Charles Schwab Trust Company as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Steele Capital Management, Inc. report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/107097"
    },
    {
      "q": "What changed in Steele Capital Management, Inc.'s recent Form ADV filings?",
      "a": "In the September 2026 filing data: Registered or notice-filed in LA, NH, RI."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 2458650101.0,
      "total_employees": 11,
      "filing_date": "2021-03-23"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 2811200716.0,
      "total_employees": 13,
      "filing_date": "2022-05-25"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 2330408674.0,
      "total_employees": 14,
      "filing_date": "2023-03-24"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 2692631181.0,
      "total_employees": 14,
      "filing_date": "2024-08-05"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 3030626319.0,
      "total_employees": 14,
      "filing_date": "2025-03-07"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 3547339793.0,
      "total_employees": 15,
      "filing_date": "2026-08-26"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "Registered or notice-filed in LA, NH, RI."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 11 to 13.",
        "Regulatory assets under management went from $3,030,626,319 to $3,547,339,793 (+17%)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in NH, RI, VA."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Registered or notice-filed in IN."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 18, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $100 to $450 an hour (selected services)"
    ],
    "figures": [
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $100 to $450 an hour (selected services)"
        ],
        "quotes": [
          "An hourly fee for selected services will generally correlate with the specific employee resources utilized and will range from $100 to $450 per hour."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": null,
          "min": 100.0,
          "max": 450.0,
          "period": "hour",
          "service": "selected services"
        }
      ]
    },
    "quotes": [
      "An hourly fee for selected services will generally correlate with the specific employee resources utilized and will range from $100 to $450 per hour."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Charles Schwab Trust Company",
      "name_as_filed": "CHARLES SCHWAB TRUST COMPANY",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/steele-capital-management-inc-dubuque-ia-107097.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 939,
      "fewer_than_5": false,
      "raum": 387591635.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 582,
      "fewer_than_5": false,
      "raum": 2271382021.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 103,
      "fewer_than_5": false,
      "raum": 852738420.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": 9662115.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 20,
      "fewer_than_5": false,
      "raum": 25965602.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107097",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}