{"url":"https://nivawealth.com/firms/sterneck-capital-management-111463","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/111463","regulatoryAum":327938616,"crd":"111463","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6365082","suffix":null,"lastName":"DRAKE","firstName":"AUSTIN","middleName":"LLOYD"},{"crd":"6324300","suffix":null,"lastName":"GIFFIN","firstName":"BRANDIE","middleName":"MIGNON"},{"crd":"1171973","suffix":null,"lastName":"STERNECK","firstName":"FRANK","middleName":"MARTIN"},{"crd":"1241565","suffix":null,"lastName":"STERNECK","firstName":"ROBIN","middleName":"PEPPE"}],"total":4,"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":"2021-03-29","regulatoryAum":233095064,"clients":239,"employees":5,"offices":2},{"filedOn":"2022-03-30","regulatoryAum":275773516,"clients":257,"employees":6,"offices":4},{"filedOn":"2023-03-20","regulatoryAum":239259698,"clients":264,"employees":6,"offices":4},{"filedOn":"2024-06-26","regulatoryAum":254571595,"clients":255,"employees":6,"offices":7},{"filedOn":"2025-07-29","regulatoryAum":277853450,"clients":262,"employees":5,"offices":6},{"filedOn":"2026-07-07","regulatoryAum":327938616,"clients":265,"employees":5,"offices":6}],"secFileNumber":"801-45256","legalName":"Sterneck Capital Management LLC","displayName":"Sterneck Capital Management","slug":"sterneck-capital-management-111463","website":"https://sterneckcapital.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/111463/ea221bd4f90db1c5-r1.webp","tone":"light","width":200,"height":200,"sourceUrl":"https://www.sterneckcapital.com/","sourceLabel":"Sterneck Capital Management LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/3812713/","founded":"1989","organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1251 NW Briarcliff Pkwy, Ste 95","city":"Kansas City","state":"MO","stateName":"Missouri","country":"United States","postalCode":"64116"},"tradeNames":[],"registration":{"secApproved":"20 December 1993","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1296931.939759036,"staff":{"employees":5,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":327938616,"discretionary":309008342,"discretionaryAccounts":620,"nonDiscretionary":18930274,"nonDiscretionaryAccounts":50,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":12},"clientTypes":[{"label":"Individuals (other than HNW)","clients":120,"regulatoryAum":20621003},{"label":"High-net-worth individuals","clients":129,"regulatoryAum":302315050},{"label":"Charitable organizations","clients":8,"regulatoryAum":3107779},{"label":"Corporations and other businesses","clients":8,"regulatoryAum":1894784}],"feePrograms":[{"role":"main","program":"Management Fee","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050902","versionId":1050902,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-07-07","documentName":"PART 2A BROCHURE","fee_rate_low":0.4,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Annual Financial Plan Review","summary":"A negotiated recurring annual fee reviews and updates a client's financial plan, billed in arrears on completion of the review.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050902","versionId":1050902,"submittedOn":"2026-07-07","documentName":"PART 2A BROCHURE"},{"role":"other","program":"Financial Plan for Non-Managed Clients","summary":"The initial plan fee for a client without assets under management is negotiated, between $1,000 and $6,800, and billed in arrears on completion.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050902","versionId":1050902,"submittedOn":"2026-07-07","documentName":"PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:28:37.553267+00:00","documents":[{"name":"PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050902","versionId":1050902,"submittedOn":"2026-07-07"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":322063398}],"custodyNote":"Sterneck Capital Management has custody of $4.39M in client assets for 12 clients.","leadership":[{"name":"Brandie Giffin","title":"Chief Operating Officer; 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They include 129 high-net-worth individuals, 120 individual clients and 8 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 7 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sterneck Capital Management offer?","answer":"Sterneck Capital Management provides financial planning, portfolio management for individuals and small businesses, publishing newsletters, educational seminars, business succession planning, estate planning, insurance, 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":"How much does Sterneck Capital Management charge?","answer":"Sterneck Capital Management charges 0.40%–1.50% a year for its Management Fee. The fee is billed in arrears and is negotiable.","source":"PART 2A BROCHURE, filed 7 July 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Sterneck Capital Management use?","answer":"Sterneck Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $322M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 7 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sterneck Capital Management have?","answer":"Sterneck Capital Management has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 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 Sterneck Capital Management invest in?","answer":"At the end of its last fiscal year, Sterneck Capital Management’s separately managed accounts held 54% registered funds (mutual funds, ETFs, BDCs), 32% exchange-traded equities, 6% pooled vehicles (private funds and similar), 4% cash and equivalents, 2% U.S. government and agency bonds 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 Sterneck Capital Management?","answer":"Sterneck Capital Management’s direct owners are Frank Sterneck (50% to 75%) and Austin Drake (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 7 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sterneck Capital Management get paid?","answer":"Sterneck Capital Management is paid through a percentage of assets under management, fixed fees and other compensation. 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 Sterneck Capital Management registered with the SEC?","answer":"Yes, Sterneck Capital Management has been registered with the SEC as an investment adviser since 20 December 1993. Its CRD number is 111463 and its SEC file number is 801-45256.","source":"Form ADV Part 1A, Item 1, filed 7 July 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Sterneck Capital Management?","answer":"Sterneck Capital Management’s main office is at 1251 NW Briarcliff Pkwy, Ste 95, Kansas City, MO 64116. Its phone number is 816-531-2254. 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