Hedge Fund Database

STEELE CAPITAL MANAGEMENT, INC.

Adviser information for STEELE CAPITAL MANAGEMENT, INC. last updated from Form ADV on March 6th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Iowa, United States

Employees

Total Number of Employees 14
Investment Advisory/Research 11
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 11
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 8

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 4,021 $2.7B
Non-Discretionary 39 $27.0M
Total 4,060 $2.7B

Clients

Type Number RAUM
Individuals 992 $395.9M
HNW Individuals 464 $1.6B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 103 $639.7M
Charitable organizations <5 $10.7M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 20 $36.6M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting services
Compensation % of AUM

Identifiers

SEC RIA File Number 801-50636
SEC ERA File Number 801-50636
SEC CIK Numbers 1646695
SEC CRD Numbers 107097
Legal Entity Identifier None

Principal Office

1000 JACKSON STREET
SUITE 201
DUBUQUE
IA
United States
Monday - Friday, 8AM-4:30PM
Tel: 563-588-2097, Fax: 563-588-0970

Websites

www.linkedin.com/company/steele-capital-management-inc-/ www.steelecapital.com

Chief Compliance Officer

MORAN, KATHRYN
CHIEF FINANCIAL OFFICER
1000 JACKSON STREET
SUITE 201
DUBUQUE
IA
United States
Tel: 563-588-2097
Fax: 563-588-0970
(Full email address available in API data)

Regulatory Contact

MICHAEL DOYLE
PRESIDENT
1000 JACKSON STREET
SUITE 201
DUBUQUE
IA
United States
Tel: 5635882097
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
MORAN, KATHRYN, LYNN Individual – CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER 11/2016 5-10%
STEELE, MICHAEL, DANIEL Individual – CEO 12/2010 < 5%
LEWIS, BRADLEY Individual – SENIOR PORTFOLIO MANAGER 01/2018 5-10%
SMITH, NICHOLAS, PATRICK Individual – SENIOR PORTFOLIO MANAGER 01/2018 5-10%
WESSELS, BRETT, ALLEN Individual – CHIEF INVESTMENT OFFICER 01/2018 5-10%
BOXLEITER, CHRISTOPHER, MATTHEW Individual – DIRECTOR OF COMPANY SPONSORED RETIREMENT PLANS 01/2018 5-10%
DOYLE, MICHAEL, HUGH Individual – PRESIDENT 01/2022 < 5%
MICHAEL D STEELE TRUST Domestic Entity – OWNER 01/2018 > 75%
STEELE, MICHAEL, DANIEL Individual MICHAEL D STEELE TRUST TRUSTEE 03/2001 > 75%
STEELE, DANIEL, LOUIS Individual DANIEL L STEELE 2024 TRUST BENEFICIARY OF TRUST 02/2024
DANIEL L STEELE 2024 TRUST Domestic Entity – MINORITY OWNER 02/2024 10-25%
ASHLEY E STEELE 2024 TRUST Domestic Entity – MINORITY OWNER 02/2024 10-25%
STEELE, ASHLEY, E Individual ASHLEY E STEELE 2024 TRUST BENEFICIARY OF TRUST 02/2024
STEELE, BRIGID, A Individual DANIEL L STEELE 2024 TRUST TRUSTEE 02/2024
STEELE, BRIGID, A Individual ASHLEY E STEELE 2024 TRUST TRUSTEE 02/2024

No. Employees, Historic

20100201920202021202220232024202511 on 8/20/201911 on 12/9/201911 on 3/9/202011 on 6/10/202011 on 10/19/202011 on 3/23/202113 on 2/2/202213 on 3/30/202213 on 5/25/202214 on 3/24/202314 on 11/15/202314 on 3/6/202414 on 3/6/2024

RAUM, Historic

3B2B020192020202120222023202420251813941418 on 8/20/20191813941418 on 12/9/20192173351065 on 3/9/20202173351065 on 6/10/20202173351065 on 10/19/20202458650101 on 3/23/20212811200716 on 2/2/20222811200716 on 3/30/20222811200716 on 5/25/20222330408674 on 3/24/20232330408674 on 11/15/20232692631181 on 3/6/20242692631181 on 3/6/2024

No. Clients, Historic

2,0001,000020192020202120222023202420251460 on 8/20/20191460 on 12/9/20191491 on 3/9/20201491 on 6/10/20201491 on 10/19/20201505 on 3/23/20211543 on 2/2/20221543 on 3/30/20221543 on 5/25/20221569 on 3/24/20231569 on 11/15/20231579 on 3/6/20241579 on 3/6/2024

Holdings

From latest 13F, filed July 16th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 958K 9K –
AIRBNB INC COM CL A 439K 3K –
ALLIANT ENERGY CORP COM 326K 6K –
AMAZON COM INC COM 13M 68K –
AMERICAN INTL GROUP INC COM NEW 624K 8K –
AMGEN INC COM 403K 1K –
APPLE INC COM 28M 133K –
BANK AMERICA CORP COM 856K 22K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 15M 37K –
BOEING CO COM 630K 3K –
CASEYS GEN STORES INC COM 347K 911 –
CATERPILLAR INC COM 214K 643 –
COCA COLA CO COM 237K 4K –
DANAHER CORPORATION COM 254K 1K –
DARLING INGREDIENTS INC COM 1M 38K –
DEERE & CO COM 4M 10K –
DISNEY WALT CO COM 208K 2K –
DOUBLELINE INCOME SOLUTIONS COM 177K 14K –
ENTERPRISE PRODS PARTNERS L COM 546K 19K –
EQUIFAX INC COM 291K 1K –
FIRST BANCSHARES INC MS COM 2M 61K –
FIRST SOLAR INC COM 682K 3K –
FORD MTR CO DEL COM 219K 17K –
HOME DEPOT INC COM 399K 1K –
ILLINOIS TOOL WKS INC COM 206K 863 –
INTEL CORP COM 271K 9K –
ISHARES TR CORE S&P500 ETF 182M 332K –
ISHARES TR CORE US AGGBD ET 74M 767K –
ISHARES TR RUS MDCP VAL ETF 305K 3K –
ISHARES TR ISHARES SEMICDTR 1M 6K –
ISHARES TR ISHARES BIOTECH 593K 4K –
ISHARES TR RUS 1000 VAL ETF 218K 1K –
ISHARES TR RUS 1000 GRW ETF 294K 807 –
ISHARES TR RUS 2000 VAL ETF 278K 2K –
ISHARES TR CORE S&P US VLU 19M 212K –
ISHARES TR U.S. TECH ETF 272K 2K –
ISHARES TR US HLTHCARE ETF 309K 5K –
ISHARES TR CORE S&P SCP ETF 70M 654K –
ISHARES TR MORNINGSTAR VALU 62M 817K –
ISHARES TR SHRT NAT MUN ETF 828K 8K –
ISHARES TR MRGSTR MD CP ETF 11M 155K –
ISHARES TR MSCI ACWI ETF 957K 9K –
ISHARES TR MRGSTR MD CP GRW 11M 164K –
ISHARES TR MRGSTR MD CP VAL 16M 222K –
ISHARES TR NATIONAL MUN ETF 489K 5K –
ISHARES TR MRGSTR SM CP GR 7M 144K –
ISHARES TR ISHS 1-5YR INVS 2M 44K –
ISHARES TR MRNING SM CP ETF 11M 190K –
ISHARES TR US AER DEF ETF 637K 5K –
JOHNSON & JOHNSON COM 253K 2K –
MADDEN STEVEN LTD COM 238K 6K –
MCDONALDS CORP COM 633K 2K –
MICROSOFT CORP COM 6M 14K –
MONDELEZ INTL INC CL A 278K 4K –
NIKE INC CL B 253K 3K –
PEPSICO INC COM 547K 3K –
PHILIP MORRIS INTL INC COM 330K 3K –
QUALCOMM INC COM 255K 1K –
SCHWAB CHARLES CORP COM 217K 3K –
SCHWAB STRATEGIC TR US LRG CAP ETF 83M 1M –
SCHWAB STRATEGIC TR US LCAP GR ETF 6M 57K –
SCHWAB STRATEGIC TR US LCAP VA ETF 3M 43K –
SCHWAB STRATEGIC TR US MID-CAP ETF 4M 49K –
SCHWAB STRATEGIC TR US SML CAP ETF 34M 718K –
SCHWAB STRATEGIC TR EMRG MKTEQ ETF 9M 346K –
SCHWAB STRATEGIC TR FUNDAMENTAL US S 54M 976K –
SCHWAB STRATEGIC TR FUNDAMENTAL US L 133M 2M –
SCHWAB STRATEGIC TR US DIVIDEND EQ 33M 425K –
SCHWAB STRATEGIC TR INTL EQTY ETF 164M 4M –
SIMON PPTY GROUP INC NEW COM 339K 2K –
THERMO FISHER SCIENTIFIC INC COM 480K 868 –
US BANCORP DEL COM NEW 395K 10K –
UNION PAC CORP COM 471K 2K –
UNITED RENTALS INC COM 314K 485 –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 769K 4K –
VANGUARD STAR FDS VG TL INTL STK F 447K 7K –
VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 289K 2K –
VANGUARD BD INDEX FDS SHORT TRM BOND 267K 3K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 24M 332K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 63M 1M –
VANGUARD WHITEHALL FDS HIGH DIV YLD 12M 104K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 76M 2M –
VANGUARD MUN BD FDS TAX EXEMPT BD 1M 22K –
VANGUARD INDEX FDS S&P 500 ETF SHS 80M 159K –
VANGUARD INDEX FDS MCAP GR IDXVIP 581K 3K –
VANGUARD INDEX FDS SML CP GRW ETF 248K 990 –
VANGUARD INDEX FDS SM CP VAL ETF 9M 50K –
VANGUARD INDEX FDS GROWTH ETF 478K 1K –
VANGUARD INDEX FDS VALUE ETF 9M 54K –
VANGUARD INDEX FDS TOTAL STK MKT 2M 6K –
WALMART INC COM 572K 8K –
WELLS FARGO CO NEW COM 431K 7K –
INVESCO QQQ TR UNIT SER 1 100M 208K –
CENCORA INC COM 380K 2K –
AT&T INC COM 284K 15K –
ABBVIE INC COM 2M 14K –
ALPHABET INC CAP STK CL C 1M 8K –
ALPHABET INC CAP STK CL A 632K 3K –
ALTRIA GROUP INC COM 239K 5K –
BROADCOM INC COM 226K 141 –
CISCO SYS INC COM 313K 7K –
COHEN & STEERS QUALITY INCOM COM 146K 12K –
COSTCO WHSL CORP NEW COM 454K 534 –
DIMENSIONAL ETF TRUST US TARGETED VLU 217K 4K –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 319K 10K –
DIMENSIONAL ETF TRUST US MKTWIDE VALUE 387K 10K –
DIREXION SHS ETF TR DRX S&P500BULL 446K 3K –
EXXON MOBIL CORP COM 2M 16K –
FS CREDIT OPPORTUNITIES CORP COMMON STOCK 159K 25K –
META PLATFORMS INC CL A 1M 2K –
FIRST TR EXCHANGE-TRADED FD MANAGD MUN ETF 445K 9K –
GLOBAL X FDS ARTIFICIAL ETF 1M 29K –
GRANITESHARES ETF TR 2X SHORT NVDA DA 22K 10K –
HEARTLAND FINL USA INC COM 2M 34K –
INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 1M 20K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 28M 173K –
INVESCO EXCHANGE TRADED FD T S&P 100 EQL WIGH 2M 18K –
ISHARES U S ETF TR BLACKROCK SH DUR 254K 5K –
ISHARES INC CORE MSCI EMKT 4M 78K –
ISHARES TR TRS FLT RT BD 1M 28K –
ISHARES TR BLACKROCK ULTRA 8M 157K –
ISHARES TR IBONDS DEC25 ETF 755K 30K –
ISHARES TR CORE MSCI INTL 9M 138K –
ISHARES TR IBONDS DEC2026 500K 21K –
ISHARES TR IBONDS 25 TRM HG 1M 46K –
ISHARES TR IBONDS 24 TRM HG 1M 52K –
ISHARES TR BB RAT CORP BD 230K 5K –
ISHARES TR 20+ YEAR TR BD 231K 9K –
ISHARES TR 0-3 MNTH TREASRY 1M 11K –
ISHARES TR IBONDS 25 TRM TS 525K 23K –
ISHARES TR IBONDS 24 TRM TS 345K 14K –
JPMORGAN CHASE & CO. COM 2M 8K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 18M 325K –
J P MORGAN EXCHANGE TRADED F CORE PLUS BD ETF 18M 386K –
J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM 643K 12K –
MCKESSON CORP COM 775K 1K –
MERCK & CO INC COM 347K 3K –
NETFLIX INC COM 769K 1K –
NEXTERA ENERGY INC COM 589K 8K –
NVIDIA CORPORATION COM 14M 111K –
ORACLE CORP COM 211K 1K –
PRINCIPAL FINANCIAL GROUP IN COM 574K 7K –
PROSHARES TR ULTRAPRO QQQ 330K 4K –
RUMBLE INC *W EXP 09/16/202 15K 15K –
SPDR S&P 500 ETF TR TR UNIT 1M 2K –
SPDR GOLD TR GOLD SHS 498K 2K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 2M 63K –
SPDR SER TR S&P 600 SMCP GRW 322K 4K –
SPDR SER TR NUVEEN BLOOMBERG 265K 10K –
SPDR SER TR S&P 600 SMCP VAL 434K 6K –
SPDR SER TR PORTFOLIO AGRGTE 960K 38K –
SPDR SER TR PORTFOLIO S&P500 21M 324K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 18M 34K –
SPDR SER TR NUVEEN BLMBRG MU 7M 157K –
SELECT SECTOR SPDR TR SBI CONS STPLS 504K 7K –
SELECT SECTOR SPDR TR SBI CONS DISCR 5M 26K –
SELECT SECTOR SPDR TR ENERGY 9M 98K –
SELECT SECTOR SPDR TR FINANCIAL 719K 17K –
SELECT SECTOR SPDR TR TECHNOLOGY 320K 1K –
SELECT SECTOR SPDR TR SBI INT-UTILS 368K 5K –
SIGHT SCIENCES INC COM 67K 10K –
SOFI TECHNOLOGIES INC COM 76K 12K –
STEM INC COM 139K 125K –
SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 505K 9K –
TESLA INC COM 1M 5K –
3M CO COM 307K 3K –
UNITEDHEALTH GROUP INC COM 547K 1K –
VANECK ETF TRUST SEMICONDUCTR ETF 714K 3K –
VANGUARD WORLD FD ENERGY ETF 447K 3K –
VANGUARD WORLD FD HEALTH CAR ETF 350K 1K –
VANGUARD WORLD FD INF TECH ETF 271K 470 –
VANGUARD WORLD FD UTILITIES ETF 826K 6K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 77M 998K –
VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 26M 273K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 29M 364K –
VERIZON COMMUNICATIONS INC COM 291K 7K –
VISA INC COM CL A 661K 3K –