{"url":"https://nivawealth.com/firms/sebold-capital-management-122941","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/122941","regulatoryAum":364310949,"crd":"122941","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6892949","suffix":null,"lastName":"Niemi","firstName":"Nicholas","middleName":"William"},{"crd":"2577853","suffix":null,"lastName":"SEBOLD","firstName":"SEAN","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":"2021-03-25","regulatoryAum":256402749,"clients":144,"employees":7,"offices":1},{"filedOn":"2022-03-29","regulatoryAum":305963659,"clients":150,"employees":6,"offices":1},{"filedOn":"2023-03-29","regulatoryAum":258706648,"clients":156,"employees":5,"offices":1},{"filedOn":"2024-03-15","regulatoryAum":303807809,"clients":168,"employees":8,"offices":1},{"filedOn":"2025-03-21","regulatoryAum":331209249,"clients":207,"employees":9,"offices":1},{"filedOn":"2026-03-23","regulatoryAum":364310949,"clients":204,"employees":9,"offices":1}],"secFileNumber":"801-78616","legalName":"Sebold Capital Management, Inc","displayName":"Sebold Capital Management","slug":"sebold-capital-management-122941","website":"https://seboldcapital.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"xUrl":"http://www.twitter.com/seboldcapital","founded":"1998","organization":"Illinois corporation","fiscalYearEnd":"December","headquarters":{"street":"2443 Warrenville Road, Suite 150","city":"Lisle","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60532"},"tradeNames":[],"registration":{"secApproved":"27 September 2013","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1660431.6907216494,"staff":{"employees":9,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":364310949,"discretionary":323560521,"discretionaryAccounts":841,"nonDiscretionary":40750428,"nonDiscretionaryAccounts":48,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":75,"regulatoryAum":20922603},{"label":"High-net-worth individuals","clients":119,"regulatoryAum":301201145},{"label":"Pension and profit-sharing plans","clients":8,"regulatoryAum":41952407},{"label":"Corporations and other businesses","clients":2,"fewerThan5":true,"regulatoryAum":234794}],"feePrograms":[{"role":"other","program":"Financial planning","summary":"Financial planning fees are agreed upfront based on the complexity and scope of the engagement, and range between $20,000 and $50,000 per year, invoiced quarterly in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023435","versionId":1023435,"submittedOn":"2026-03-23","documentName":"FORM ADV PART 2A FIRM BROCHURE AND PART 2B BROCHURE SUPPLEMENT"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T08:49:15.793556+00:00","documents":[{"name":"FORM ADV PART 2A FIRM BROCHURE AND PART 2B BROCHURE SUPPLEMENT","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023435","versionId":1023435,"submittedOn":"2026-03-23"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Orlando, FL","smaAssets":289653779},{"name":"Charles Schwab Trust Bank","shortName":"Charles Schwab","location":"Henderson, NV","smaAssets":3123096}],"custodyNote":"Sebold Capital Management has custody of $163M in client assets for 143 clients.","leadership":[{"name":"Sean Sebold","title":"President/Chief Compliance Officer","crd":"2577853"}],"ownership":[{"label":"Sean Sebold","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since April 1998."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"2443 Warrenville Road, Suite 150","city":"Lisle","headquarters":true}]}],"brochureServices":["business succession planning","education planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"630-548-9700","stateRegisteredReps":2,"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","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Educational seminars/workshops"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":5},{"label":"Non-exchange-traded equity securities","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":87},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"23 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/122941/PDF/122941.pdf","brochureDate":"23 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023435","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 Sebold Capital Management have?","answer":"Sebold Capital Management has 204 clients and manages $364 million for them, as of March 2026. They include 119 high-net-worth individuals, 75 individual clients, and 8 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sebold Capital Management offer?","answer":"Sebold Capital Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, educational seminars, business succession planning, education planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Sebold Capital Management use?","answer":"Sebold Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Orlando, FL), with $290M and Charles Schwab Trust Bank (Henderson, NV), with $3.12M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sebold Capital Management have?","answer":"Sebold Capital Management has 2 investment adviser representatives registered with state securities authorities, out of 9 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":"What does Sebold Capital Management invest in?","answer":"At the end of its last fiscal year, Sebold Capital Management’s separately managed accounts held 87% registered funds (mutual funds, ETFs, BDCs), 5% exchange-traded equities, 5% non-exchange-traded equities and 3% cash and equivalents.","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 Sebold Capital Management?","answer":"Sebold Capital Management’s direct owner is Sean Sebold (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sebold Capital Management get paid?","answer":"Sebold 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 Sebold Capital Management registered with the SEC?","answer":"Yes, Sebold Capital Management has been registered with the SEC as an investment adviser since 27 September 2013. Its CRD number is 122941 and its SEC file number is 801-78616.","source":"Form ADV Part 1A, Item 1, filed 23 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Sebold Capital Management?","answer":"Sebold Capital Management’s main office is at 2443 Warrenville Road, Suite 150, Lisle, IL 60532. Its phone number is 630-548-9700. Its website is seboldcapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 23 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."}