{"url":"https://nivawealth.com/firms/sunbeam-capital-management-289723","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/289723","regulatoryAum":410159817,"crd":"289723","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4780927","suffix":"II","lastName":"CARSON","firstName":"ELLIS","middleName":"ANDERSON"},{"crd":"5204335","suffix":null,"lastName":"LYNN","firstName":"MOLLY","middleName":"ELISE"},{"crd":"4681363","suffix":null,"lastName":"SAENGER","firstName":"MATTHEW","middleName":"JUSTIN"}],"total":3,"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":"2021-04-01","regulatoryAum":60178987,"clients":6,"employees":1,"offices":1},{"filedOn":"2022-03-25","regulatoryAum":56618915,"clients":8,"employees":1,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":66184479,"clients":7,"employees":1,"offices":1},{"filedOn":"2024-03-01","regulatoryAum":152650459,"clients":22,"employees":2,"offices":2},{"filedOn":"2025-06-03","regulatoryAum":213179129,"clients":24,"employees":2,"offices":2},{"filedOn":"2026-03-20","regulatoryAum":410159817,"clients":47,"employees":3,"offices":2}],"secFileNumber":"801-112112","legalName":"Sunbeam Capital Management, LLC","displayName":"Sunbeam Capital Management","slug":"sunbeam-capital-management-289723","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Georgia limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"4 December 2017","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":8726804.617021276,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":410159817,"discretionary":410159817,"discretionaryAccounts":239,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":2,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":47,"regulatoryAum":410159817}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022356","versionId":1022356,"ratePeriod":"not_stated","fee_billing":"advance","submittedOn":"2026-03-20","documentName":"SUNBEAM CAPITAL MANAGEMENT - PART 2 BROCHURE","fee_rate_low":null,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:52:30.587555+00:00","documents":[{"name":"SUNBEAM CAPITAL MANAGEMENT - PART 2 BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022356","versionId":1022356,"submittedOn":"2026-03-20"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":214416676},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":171740996}],"custodyNote":"Sunbeam Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Ellis Carson","title":"Managing Member/Chief Compliance Officer","crd":"4780927"}],"ownership":[{"label":"Ellis Carson","detail":"Managing member/chief compliance officer in the 75% or more ownership band and a control person, since April 2017."},{"label":"Rainbow Trust","detail":"Owner in the 10% to 25% ownership band, since September 2017."},{"label":"Courtney Carson","detail":"Indirect owner: trustee of Rainbow Trust, since September 2017.","parent":"Rainbow Trust"},{"label":"Katherine Carson","detail":"Indirect owner: trustee of Rainbow Trust, since September 2017.","parent":"Rainbow Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"901-229-2132","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":25},{"label":"U.S. government/agency bonds","percent":24},{"label":"U.S. state and local bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":31},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":7},{"label":"Cash and cash equivalents","percent":9}],"privateFunds":0},"sources":{"adv1FilingDate":"20 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/289723/PDF/289723.pdf","brochureDate":"20 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022356","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 Sunbeam Capital Management have?","answer":"Sunbeam Capital Management has 47 clients and manages $410 million for them, as of March 2026. They include 47 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sunbeam Capital Management offer?","answer":"Sunbeam Capital Management provides 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 Sunbeam Capital Management charge?","answer":"Sunbeam Capital Management charges up to 1.00% for its Investment Management Services. The brochure does not state whether the rate is annual. The fee is billed in advance and is negotiable.","source":"SUNBEAM CAPITAL MANAGEMENT - PART 2 BROCHURE, filed 20 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Sunbeam Capital Management use?","answer":"Sunbeam Capital Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $214M and Charles Schwab & Co., Inc. (Westlake, TX), with $172M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sunbeam Capital Management have?","answer":"Sunbeam Capital Management has 2 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":"What does Sunbeam Capital Management invest in?","answer":"At the end of its last fiscal year, Sunbeam Capital Management’s separately managed accounts held 31% registered funds (mutual funds, ETFs, BDCs), 25% exchange-traded equities, 24% U.S. government and agency bonds, 9% cash and equivalents, 7% pooled vehicles (private funds and similar) and 4% 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 Sunbeam Capital Management?","answer":"Sunbeam Capital Management’s direct owners are Ellis Carson (75% or more) and Rainbow Trust (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 20 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sunbeam Capital Management get paid?","answer":"Sunbeam Capital Management is paid through a percentage of assets under management. 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 Sunbeam Capital Management?","answer":"Its phone number is 901-229-2132.","source":"Form ADV Part 1A, Item 1.F, filed 20 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."}