{"url":"https://nivawealth.com/firms/berkeley-capital-management-149229","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/149229","regulatoryAum":128487497,"crd":"149229","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4924305","suffix":null,"lastName":"PESCHKA","firstName":"RYAN","middleName":"JAMES"},{"crd":"7676487","suffix":null,"lastName":"Reinert","firstName":"Nicholas","middleName":"J"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-05-02","regulatoryAum":100038351,"clients":336,"employees":4,"offices":2},{"filedOn":"2026-03-12","regulatoryAum":128487497,"clients":370,"employees":5,"offices":2}],"secFileNumber":"801-132716","legalName":"Berkeley Capital Management, LLC","displayName":"Berkeley Capital Management","slug":"berkeley-capital-management-149229","website":"https://berkeleycapitalmanagement.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/149229/aa049e81c0c82e34-r1.webp","tone":"light","width":1176,"height":200,"sourceUrl":"https://www.berkeleycapitalmanagement.com/","sourceLabel":"Berkeley Capital Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/berkeley-capital-management/","xUrl":"https://x.com/BERKELEY_RP","founded":null,"organization":"Kansas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1502 Aylward Ave","city":"Ellsworth","state":"KS","stateName":"Kansas","country":"United States","postalCode":"67439"},"tradeNames":[],"registration":{"secApproved":"5 May 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":337881.8361581921,"staff":{"employees":5,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":128487497,"discretionary":128487497,"discretionaryAccounts":767,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":322,"regulatoryAum":53413774},{"label":"High-net-worth individuals","clients":32,"regulatoryAum":66196396},{"label":"Charitable organizations","clients":6,"regulatoryAum":6378984},{"label":"Corporations and other businesses","clients":10,"regulatoryAum":2498343}],"feePrograms":[{"role":"main","program":"Management of Investment Advisory Accounts","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018386","versionId":1018386,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-12","documentName":"BCM FORM ADV PART 2A","fee_rate_low":0.8,"fee_rate_high":1.2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"ERISA retirement plan services","summary":"Retirement plan services for ERISA plan sponsors are negotiated with the sponsor and will not exceed 0.80%.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018386","versionId":1018386,"submittedOn":"2026-03-12","documentName":"BCM FORM ADV PART 2A"},{"role":"other","program":"Stand-alone financial planning","summary":"Stand-alone financial planning is a fixed fee of $500 to $3,000, depending on the client's circumstances, payable on completion of the service.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018386","versionId":1018386,"submittedOn":"2026-03-12","documentName":"BCM FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:53:26.648319+00:00","documents":[{"name":"BCM FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018386","versionId":1018386,"submittedOn":"2026-03-12"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":127924742}],"custodyNote":"Berkeley Capital Management has custody of $934K in client assets for 4 clients.","leadership":[{"name":"Ryan Peschka","title":"President","crd":"4924305"},{"name":"Amber Peschka","title":"Chief Compliance Officer","crd":"7295050"}],"ownership":[{"label":"Ryan and Amber Peschka Trust","detail":"Owner in the 75% or more ownership band and a control person, since August 2020."},{"label":"Ryan Peschka","detail":"Indirect owner: trustee of Ryan and Amber Peschka Trust and a control person, since August 2020.","parent":"Ryan and Amber Peschka Trust"},{"label":"Amber Peschka","detail":"Indirect owner: trustee of Ryan and Amber Peschka Trust and a control person, since August 2020.","parent":"Ryan and Amber Peschka Trust"}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Kansas","offices":2,"addresses":[{"street":"1502 Aylward Ave","city":"Ellsworth","headquarters":true},{"street":"5251 West 116th Place Suite 200","city":"Leawood"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"785-472-2375","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":31},{"label":"Non-exchange-traded equity securities","percent":4},{"label":"U.S. government/agency bonds","percent":6},{"label":"U.S. state and local bonds","percent":2},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":48},{"label":"Cash and cash equivalents","percent":8}],"privateFunds":0},"sources":{"adv1FilingDate":"12 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/149229/PDF/149229.pdf","brochureDate":"12 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018386","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Berkeley Capital Management have?","answer":"Berkeley Capital Management has 370 clients and manages $128 million for them, as of March 2026. They include 322 individual clients, 32 high-net-worth individuals, and 10 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Berkeley Capital Management offer?","answer":"Berkeley Capital Management provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Berkeley Capital Management charge?","answer":"Berkeley Capital Management charges 0.80%–1.20% a year for its Management of Investment Advisory Accounts. The fee is billed in arrears and is negotiable.","source":"BCM FORM ADV PART 2A, filed 12 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Berkeley Capital Management use?","answer":"Berkeley Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $128M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Berkeley Capital Management have?","answer":"Berkeley Capital Management has 3 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Berkeley Capital Management invest in?","answer":"At the end of its last fiscal year, Berkeley Capital Management’s separately managed accounts held 48% registered funds (mutual funds, ETFs, BDCs), 31% exchange-traded equities, 8% cash and equivalents, 6% U.S. government and agency bonds, 4% non-exchange-traded equities, 2% state and local bonds and 1% derivatives.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Berkeley Capital Management?","answer":"Berkeley Capital Management’s direct owner is Ryan and Amber Peschka Trust (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Berkeley Capital Management get paid?","answer":"Berkeley Capital Management is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Berkeley Capital Management registered with the SEC?","answer":"Yes, Berkeley Capital Management has been registered with the SEC as an investment adviser since 5 May 2025. Its CRD number is 149229 and its SEC file number is 801-132716.","source":"Form ADV Part 1A, Item 1, filed 12 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Berkeley Capital Management?","answer":"Berkeley Capital Management’s main office is at 1502 Aylward Ave, Ellsworth, KS 67439. Its phone number is 785-472-2375. Its website is berkeleycapitalmanagement.com.","source":"Form ADV Part 1A, Item 1.F, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}