{"url":"https://nivawealth.com/firms/lauer-capital-management-109660","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/109660","regulatoryAum":322739854,"crd":"109660","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1137662","suffix":null,"lastName":"FROMELT","firstName":"E","middleName":"JOHN"},{"crd":"2096666","suffix":null,"lastName":"LAUER","firstName":"RICHARD","middleName":"THOMAS"}],"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":"2021-04-01","regulatoryAum":270114437,"clients":93,"employees":3,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":318690733,"clients":92,"employees":3,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":276910825,"clients":94,"employees":3,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":306200760,"clients":94,"employees":3,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":329628857,"clients":90,"employees":3,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":322739854,"clients":90,"employees":3,"offices":1}],"secFileNumber":"801-48112","legalName":"Lauer Capital Management LTD","displayName":"Lauer Capital Management","slug":"lauer-capital-management-109660","website":"https://lauercapital.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1995","organization":"South Dakota corporation","fiscalYearEnd":"December","headquarters":{"street":"1720 S. Spring Avenue","city":"Sioux Falls","state":"SD","stateName":"South Dakota","country":"United States","postalCode":"57105"},"tradeNames":["Lauer Capital Management LTD."],"registration":{"secApproved":"23 December 1994","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":3365564.711111111,"staff":{"employees":3,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":322739854,"discretionary":322739854,"discretionaryAccounts":92,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":94},"clientTypes":[{"label":"Individuals (other than HNW)","clients":35,"regulatoryAum":15172480},{"label":"High-net-worth individuals","clients":55,"regulatoryAum":287728344},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":19839030}],"feePrograms":[{"role":"main","program":"Management Fee","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":2000000,"pct":0.75,"from":1000000},{"to":null,"pct":0.5,"from":2000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032843","versionId":1032843,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-30","documentName":"LAUER CAPITAL MANAGEMENT LTD. ADV PART 2A","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Consulting services","summary":"Occasional consulting is billed at an hourly fee of $200, paid after the consultations; fees are negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032843","versionId":1032843,"submittedOn":"2026-03-30","documentName":"LAUER CAPITAL MANAGEMENT LTD. ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:23:19.147444+00:00","documents":[{"name":"LAUER CAPITAL MANAGEMENT LTD. ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032843","versionId":1032843,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Fransisco, CA","smaAssets":303029668}],"custodyNote":"Lauer Capital Management has custody of $58M in client assets for 36 clients.","otherCustodians":[],"leadership":[{"name":"Richard Lauer","title":"President","crd":"2096666"},{"name":"Richard Lauer","title":"Director, Chief Compliance Officer","crd":"303514"}],"ownership":[{"label":"Richard Lauer","detail":"President in the 75% or more ownership band and a control person, since November 1994."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"South Dakota","offices":1,"addresses":[{"street":"1720 S. Spring Avenue","city":"Sioux Falls","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"605-357-8088","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":35},{"label":"Non-exchange-traded equity securities","percent":13},{"label":"U.S. government/agency bonds","percent":8},{"label":"Investment grade corporate bonds","percent":34},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/109660/PDF/109660.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032843","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 Lauer Capital Management have?","answer":"Lauer Capital Management has 90 clients and manages $323 million for them, as of March 2026. They include 55 high-net-worth individuals and 35 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Lauer Capital Management offer?","answer":"Lauer Capital Management provides 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 Lauer Capital Management charge?","answer":"Lauer Capital Management charges 0.50%–1.00% a year for its Management Fee. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"LAUER CAPITAL MANAGEMENT LTD. ADV PART 2A, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Lauer Capital Management use?","answer":"Lauer Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Fransisco, CA), with $303M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Lauer Capital Management have?","answer":"Lauer Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 3 employees, and 1 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 Lauer Capital Management invest in?","answer":"At the end of its last fiscal year, Lauer Capital Management’s separately managed accounts held 35% exchange-traded equities, 34% investment grade corporate bonds, 13% non-exchange-traded equities, 10% cash and equivalents and 8% U.S. government and agency bonds.","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 Lauer Capital Management?","answer":"Lauer Capital Management’s direct owner is Richard Lauer (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Lauer Capital Management get paid?","answer":"Lauer Capital Management is paid through a percentage of assets under management and hourly charges. 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":"How do I contact Lauer Capital Management?","answer":"Lauer Capital Management’s main office is at 1720 S. Spring Avenue, Sioux Falls, SD 57105. Its phone number is 605-357-8088. Its website is lauercapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 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."}