{"url":"https://nivawealth.com/firms/park-capital-management-158965","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/158965","regulatoryAum":867986072,"crd":"158965","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2791047","suffix":null,"lastName":"BAUCH","firstName":"CLINTON","middleName":"LEE"},{"crd":"5461534","suffix":null,"lastName":"FRIAR","firstName":"JOHN","middleName":"PAUL"},{"crd":"6199914","suffix":null,"lastName":"GRAY","firstName":"CAMERON","middleName":"T"},{"crd":"3173952","suffix":null,"lastName":"SPELLMAN","firstName":"DANIEL","middleName":"JAMES"},{"crd":"6870222","suffix":null,"lastName":"Thompson","firstName":"Alyssa","middleName":"L"}],"total":5,"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":"2021-03-15","regulatoryAum":176464180,"clients":472,"employees":7,"offices":4},{"filedOn":"2022-05-10","regulatoryAum":303549617,"clients":365,"employees":9,"offices":4},{"filedOn":"2023-08-09","regulatoryAum":305552072,"clients":441,"employees":8,"offices":1},{"filedOn":"2024-03-06","regulatoryAum":377090917,"clients":525,"employees":9,"offices":1},{"filedOn":"2025-06-12","regulatoryAum":732763918,"clients":591,"employees":9,"offices":1},{"filedOn":"2026-03-06","regulatoryAum":867986072,"clients":625,"employees":9,"offices":1}],"secFileNumber":"801-115013","legalName":"Park Capital Management, LLC","displayName":"Park Capital Management","slug":"park-capital-management-158965","website":"https://parkcapitalmgt.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/158965/9ab5dcf1723f3d4b-r1.webp","tone":"light","width":649,"height":200,"sourceUrl":"https://parkcapitalmgt.com/","sourceLabel":"Park Capital Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/parkcapitalmgt.com/","founded":null,"organization":"Wisconsin limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1601 Greenway Cross, Suite 201","city":"Madison","state":"WI","stateName":"Wisconsin","country":"United States","postalCode":"53713"},"tradeNames":[],"registration":{"secApproved":"8 May 2019","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":883598.3267504488,"staff":{"employees":9,"advisory":5,"brokerDealerReps":1,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":867986072,"discretionary":859048635,"discretionaryAccounts":1792,"nonDiscretionary":8937437,"nonDiscretionaryAccounts":61,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":23},"clientTypes":[{"label":"Individuals (other than HNW)","clients":470,"regulatoryAum":187650785},{"label":"High-net-worth individuals","clients":87,"regulatoryAum":304513483},{"label":"Pension and profit-sharing plans","clients":46,"regulatoryAum":335289827},{"label":"Charitable organizations","clients":6,"regulatoryAum":21705149},{"label":"Insurance companies","clients":1,"fewerThan5":true,"regulatoryAum":1392829},{"label":"Corporations and other businesses","clients":15,"regulatoryAum":17433999}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"marginal","fee_tiers":[{"to":250000,"pct":1.1,"from":0},{"to":1000000,"pct":1,"from":250000},{"to":2000000,"pct":0.9,"from":1000000},{"to":4000000,"pct":0.8,"from":2000000},{"to":null,"pct":0.7,"from":4000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015180","versionId":1015180,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-06","documentName":"ADV PART 2A","fee_rate_low":0.7,"fee_rate_high":1.1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"401(k) Consulting Services","summary":"401(k) consulting services are billed directly in arrears at 10 to 75 basis points, depending on scope and the number of plan participants.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015180","versionId":1015180,"submittedOn":"2026-03-06","documentName":"ADV PART 2A"},{"role":"other","program":"Consulting Services","summary":"Consulting is billed hourly at a maximum of $250 an hour, or as a fixed fee of $300 to $10,000 per project, and the fees are negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015180","versionId":1015180,"submittedOn":"2026-03-06","documentName":"ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T07:00:49.67667+00:00","documents":[{"name":"ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015180","versionId":1015180,"submittedOn":"2026-03-06"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":532696246},{"name":"Empower Financial Services, Inc","shortName":"Empower","location":"Greenwood Village, CO","smaAssets":129705080}],"custodyNote":"Park Capital Management has custody of client assets.","leadership":[{"name":"Clinton Bauch","title":"Member/CEO/President","crd":"2791047"},{"name":"Christopher Kleine","title":"Chief Compliance Officer","crd":"7675768"},{"name":"John Friar","title":"Member","crd":"5461534"}],"ownership":[{"label":"Clinton Bauch","detail":"Member/ceo/president in the 25% to 50% ownership band and a control person, since July 2012."},{"label":"Hausmann-Johnson Insurance","detail":"Member in the 25% to 50% ownership band and a control person, since July 2012."},{"label":"The Park Bank, Inc","detail":"Member in the 25% to 50% ownership band and a control person, since January 2017."},{"label":"Park Bancorporation, Inc","detail":"Indirect owner: a owner of The Park Bank, Inc in the 75% or more band and a control person, since December 1983.","parent":"The Park Bank, Inc"},{"label":"James Senty","detail":"Indirect owner: a owner of Park Bancorporation, Inc in the 75% or more band and a control person, since December 1983.","parent":"Park Bancorporation, Inc"},{"label":"Igeniumprime, Inc.","detail":"Indirect owner: a owner of Hausmann-Johnson Insurance in the 75% or more band and a control person, since April 2017.","parent":"Hausmann-Johnson Insurance"}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Wisconsin","offices":1,"addresses":[{"street":"1601 Greenway Cross, Suite 201","city":"Madison","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"608-440-8608","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":20},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":69},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":3},{"label":"Cash and cash equivalents","percent":7}],"privateFunds":0},"sources":{"adv1FilingDate":"6 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/158965/PDF/158965.pdf","brochureDate":"6 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015180","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 Park Capital Management have?","answer":"Park Capital Management has 625 clients and manages $868 million for them, as of March 2026. They include 470 individual clients, 87 high-net-worth individuals, and 46 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Park Capital Management offer?","answer":"Park Capital Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, and educational seminars.","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 Park Capital Management charge?","answer":"Park Capital Management charges 0.70%–1.10% a year for its Investment Management Services. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"ADV PART 2A, filed 6 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Park Capital Management use?","answer":"Park Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $533M and Empower Financial Services, Inc (Greenwood Village, CO), with $130M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 6 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Park Capital Management have?","answer":"Park Capital Management has 5 investment adviser representatives registered with state securities authorities, out of 9 employees, and 5 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 3 employees are 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 Park Capital Management invest in?","answer":"At the end of its last fiscal year, Park Capital Management’s separately managed accounts held 69% registered funds (mutual funds, ETFs, BDCs), 20% exchange-traded equities, 7% cash and equivalents, 3% pooled vehicles (private funds and similar) and 1% state and local 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 Park Capital Management?","answer":"Park Capital Management is owned through a chain of holding companies by James Senty and Igeniumprime, Inc. Its direct owners are Clinton Bauch, Hausmann-Johnson Insurance and the Park Bank, Inc, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 6 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Park Capital Management get paid?","answer":"Park Capital Management is paid through a percentage of assets under management, hourly charges 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 Park Capital Management registered with the SEC?","answer":"Yes, Park Capital Management has been registered with the SEC as an investment adviser since 8 May 2019. Its CRD number is 158965 and its SEC file number is 801-115013.","source":"Form ADV Part 1A, Item 1, filed 6 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Park Capital Management?","answer":"Park Capital Management’s main office is at 1601 Greenway Cross, Suite 201, Madison, WI 53713. Its phone number is 608-440-8608. Its website is parkcapitalmgt.com.","source":"Form ADV Part 1A, Item 1.F, filed 6 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."}