{"url":"https://nivawealth.com/firms/roppel-capital-management-310237","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/310237","regulatoryAum":231463747,"crd":"310237","secFileNumber":"801-135964","legalName":"Roppel Capital Management LLC","displayName":"Roppel Capital Management","slug":"roppel-capital-management-310237","website":null,"classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"xUrl":"https://x.com/RoppelReport","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"444 N. Northwest Highway, Suite 201","city":"Park Ridge","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60068"},"tradeNames":[],"registration":{"secApproved":"27 April 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":231463747,"discretionary":231463747,"discretionaryAccounts":3,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":3,"regulatoryAum":231463747}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Roppel Capital Management has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Suzette Roppel","title":"Operations Manager/Chief Compliance Officer","crd":"7284495"},{"name":"James Roppel","title":"Manager","crd":"1795038"}],"ownership":[{"label":"James Roppel","detail":"Manager in the 75% or more ownership band and a control person, since January 2004."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"444 N. Northwest Highway, Suite 201","city":"Park Ridge","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"847-318-9001","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":"0","assetMix":[],"privateFunds":3},"sources":{"adv1FilingDate":"12 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/310237/PDF/310237.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Roppel Capital Management have?","answer":"Roppel Capital Management has 3 clients and manages $231 million for them, as of May 2026. They include 3 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 12 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Roppel Capital Management offer?","answer":"Roppel Capital Management provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Roppel Capital Management have?","answer":"Roppel Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 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":"Who owns Roppel Capital Management?","answer":"Roppel Capital Management’s direct owner is James Roppel (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 12 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Roppel Capital Management get paid?","answer":"Roppel Capital Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions 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 Roppel Capital Management?","answer":"Roppel Capital Management’s main office is at 444 N. Northwest Highway, Suite 201, Park Ridge, IL 60068. Its phone number is 847-318-9001.","source":"Form ADV Part 1A, Item 1.F, filed 12 May 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."}