{"url":"https://nivawealth.com/firms/sherpa-capital-management-336739","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/336739","regulatoryAum":107481071,"crd":"336739","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"868675","suffix":null,"lastName":"SPRINGER","firstName":"LAWRENCE","middleName":"EARL"},{"crd":"1798811","suffix":null,"lastName":"SUCCOSO","firstName":"PETER","middleName":"JOHN"}],"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":"2025-05-27","regulatoryAum":0,"clients":0,"employees":2,"offices":2},{"filedOn":"2026-03-27","regulatoryAum":107481071,"clients":158,"employees":3,"offices":2}],"secFileNumber":"801-133748","legalName":"Sherpa Capital Management, LLC","displayName":"Sherpa Capital Management","slug":"sherpa-capital-management-336739","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Florida limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"26 June 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":671175.4810126582,"staff":{"employees":3,"advisory":2,"brokerDealerReps":1,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":107481071,"discretionary":105814630,"discretionaryAccounts":407,"nonDiscretionary":1666441,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":102,"regulatoryAum":27732225},{"label":"High-net-worth individuals","clients":56,"regulatoryAum":78313501},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":1435345}],"feePrograms":[{"role":"main","program":"Investment management services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028529","versionId":1028529,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-27","documentName":"SHERPA CAPITAL MANAGEMENT, LLC FORM ADV PART 2A BROCHURE","fee_rate_low":0.75,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Employee benefit retirement plan services","summary":"Plan services fee is a percentage of plan assets set in the client agreement, no more than 1.25% a year, charged quarterly in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028529","versionId":1028529,"submittedOn":"2026-03-27","documentName":"SHERPA CAPITAL MANAGEMENT, LLC FORM ADV PART 2A BROCHURE"},{"role":"other","program":"Financial planning","summary":"Financial planning is a flat fee of $2,500, half due on signing and half on delivery.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028529","versionId":1028529,"submittedOn":"2026-03-27","documentName":"SHERPA CAPITAL MANAGEMENT, LLC FORM ADV PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T18:05:38.053489+00:00","documents":[{"name":"SHERPA CAPITAL MANAGEMENT, LLC FORM ADV PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028529","versionId":1028529,"submittedOn":"2026-03-27"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"New York, NY","smaAssets":104651582}],"custodyNote":"Sherpa Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Peter Succoso","title":"Chief Executive Officer","crd":"1798811"},{"name":"Peter Succoso","title":"Chief Compliance Officer","crd":"6298591"}],"ownership":[{"label":"Peter Succoso","detail":"Chief executive officer in the 75% or more ownership band and a control person, since May 2025. Also chief compliance officer in the 5% to 10% ownership band and a control person, since May 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Delaware","offices":1,"addresses":[{"street":"722 Yorklyn Road","city":"Hockessin"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"302-235-1284","stateRegisteredReps":2,"otherAdviserReps":1,"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","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":4},{"label":"U.S. government/agency bonds","percent":3},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":90},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/336739/PDF/336739.pdf","brochureDate":"27 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028529","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 Sherpa Capital Management have?","answer":"Sherpa Capital Management has 158 clients and manages $107 million for them, as of March 2026. They include 102 individual clients and 56 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sherpa Capital Management offer?","answer":"Sherpa Capital Management provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","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 Sherpa Capital Management charge?","answer":"Sherpa Capital Management charges 0.75%–1.25% a year for its Investment management services. The fee is billed in advance and is negotiable.","source":"SHERPA CAPITAL MANAGEMENT, LLC FORM ADV PART 2A BROCHURE, filed 27 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Sherpa Capital Management use?","answer":"Sherpa Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (New York, NY), with $105M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sherpa Capital Management have?","answer":"Sherpa Capital Management has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 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 Sherpa Capital Management invest in?","answer":"At the end of its last fiscal year, Sherpa Capital Management’s separately managed accounts held 90% registered funds (mutual funds, ETFs, BDCs), 4% exchange-traded equities, 3% U.S. government and agency bonds, 2% cash and equivalents and 1% investment grade corporate 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 Sherpa Capital Management?","answer":"Sherpa Capital Management’s direct owner is Peter Succoso (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sherpa Capital Management get paid?","answer":"Sherpa 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":"How do I contact Sherpa Capital Management?","answer":"Its phone number is 302-235-1284.","source":"Form ADV Part 1A, Item 1.F, filed 27 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."}