Firm profile

Steele Capital Management, Inc..

DUBUQUE, IACRD 107097Registration Status: ApprovedEffective since November 17, 1995SEC # 801-50636Latest ADV August 26, 2026

Steele Capital Management, Inc. is an SEC registered investment adviser organized as a corporation with a primary office location in Dubuque, IA. Its latest Form ADV filing, dated August 26, 2026, reports $3.5B in regulatory assets under management, 15 employees, 3 offices, and 4,418 accounts.

Assets Under Management
$3.5B
Employees
15
Offices
3 offices
Total Clients
1,644

Associated firm names

1 name listed
  • STEELE CAPITAL MANAGEMENT, INC.

Leadership

4 roles identified
CEOMichael D. Steele
CCOKathryn L. Moran
CFOKathryn L. Moran

Advisory services offered

5 types reported
Financial Planning Services
Pension consulting services
Portfolio management for businesses

Fee models offered

1 types reported
Asset based fees

Offices & Contact

Primary office

DUBUQUE, Iowa, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Iowa

DUBUQUEPrimary office · WEST DES MOINES

Nebraska

OMAHA

3 office records listed · 3 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$3.5Bas of August 26, 2026
Discretionary98.9%
$3.5B
99% of total RAUM98.9%
Non-discretionary1.1%
$41M
1% of total RAUM1.1%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentIndividuals represent 57.1% of total clients.
Top client categories% of clientsClients
1
Individuals
57.1%
939
2
HNWI
35.4%
582
3
Pension Plans
6.3%
103
4
Corporations
1.2%
20
Categories with <5 clients
Charitable Organizations<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$3.5B
Total Accounts4,418
10Y AUM Change+$1.9B (+111.9%)

Private Funds

Private funds reported by Steele Capital Management, Inc..

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees15
Clients per Employee110:1
10Y Employee Change+3 (+25.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
MICHAEL D STEELE TRUSTDirect owner · Schedule AInterest in STEELE CAPITAL MANAGEMENT, INC.
75%+
DANIEL L STEELE 2024 TRUSTDirect owner · Schedule AInterest in STEELE CAPITAL MANAGEMENT, INC.
10% to < 25%
ASHLEY E STEELE 2024 TRUSTDirect owner · Schedule AInterest in STEELE CAPITAL MANAGEMENT, INC.
10% to < 25%
KATHRYN LYNN MORANDirect owner · Schedule AInterest in STEELE CAPITAL MANAGEMENT, INC.
5% to < 10%
BRADLEY LEWISDirect owner · Schedule AInterest in STEELE CAPITAL MANAGEMENT, INC.
5% to < 10%
NICHOLAS PATRICK SMITHDirect owner · Schedule AInterest in STEELE CAPITAL MANAGEMENT, INC.
5% to < 10%
BRETT ALLEN WESSELSDirect owner · Schedule AInterest in STEELE CAPITAL MANAGEMENT, INC.
5% to < 10%
CHRISTOPHER MATTHEW BOXLEITERDirect owner · Schedule AInterest in STEELE CAPITAL MANAGEMENT, INC.
5% to < 10%
MICHAEL DANIEL STEELEIndirect owner · Schedule BInterest in MICHAEL D STEELE TRUST
75%+

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Steele Capital Management, Inc...

Reported ownership and control details

Form ADV · Filing date 2026-08-26 · Schedules A and B

14 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1KATHRYN LYNN MORANCHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICERIndividualSTEELE CAPITAL MANAGEMENT, INC.5% to less than 10%Code ANoCHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER11/2016Schedule APDF page 19
2MICHAEL DANIEL STEELECEO/PRESIDENTIndividualSTEELE CAPITAL MANAGEMENT, INC.Less than 5%Code NAYesCEO/PRESIDENT12/2010Schedule APDF page 19
3BRADLEY LEWISSENIOR PORTFOLIO MANAGERIndividualSTEELE CAPITAL MANAGEMENT, INC.5% to less than 10%Code ANoSENIOR PORTFOLIO MANAGER01/2018Schedule APDF page 19
4NICHOLAS PATRICK SMITHSENIOR PORTFOLIO MANAGERIndividualSTEELE CAPITAL MANAGEMENT, INC.5% to less than 10%Code ANoSENIOR PORTFOLIO MANAGER01/2018Schedule APDF page 20
5BRETT ALLEN WESSELSCHIEF INVESTMENT OFFICERIndividualSTEELE CAPITAL MANAGEMENT, INC.5% to less than 10%Code ANoCHIEF INVESTMENT OFFICER01/2018Schedule APDF page 20
6CHRISTOPHER MATTHEW BOXLEITERDIRECTOR OF COMPANY SPONSORED RETIREMENT PLANSIndividualSTEELE CAPITAL MANAGEMENT, INC.5% to less than 10%Code ANoDIRECTOR OF COMPANY SPONSORED RETIREMENT PLANS01/2018Schedule APDF page 20
7MICHAEL D STEELE TRUSTOWNERDomestic entitySTEELE CAPITAL MANAGEMENT, INC.75% or moreCode ENoOWNER01/2018Schedule APDF page 20
8DANIEL L STEELE 2024 TRUSTMINORITY OWNERDomestic entitySTEELE CAPITAL MANAGEMENT, INC.10% to less than 25%Code BNoMINORITY OWNER02/2024Schedule APDF page 20
9ASHLEY E STEELE 2024 TRUSTMINORITY OWNERDomestic entitySTEELE CAPITAL MANAGEMENT, INC.10% to less than 25%Code BNoMINORITY OWNER02/2024Schedule APDF page 20
10MICHAEL DANIEL STEELETRUSTEEIndividualMICHAEL D STEELE TRUST75% or moreCode EYesTRUSTEE03/2001Schedule BPDF page 20
11ASHLEY E STEELEBENEFICIARY OF TRUSTIndividualASHLEY E STEELE 2024 TRUSTPercentage not specifiedCode FNoBENEFICIARY OF TRUST02/2024Schedule BPDF page 20
12DANIEL LOUIS STEELEBENEFICIARY OF TRUSTIndividualDANIEL L STEELE 2024 TRUSTPercentage not specifiedCode FNoBENEFICIARY OF TRUST02/2024Schedule BPDF page 20
13BRIGID A STEELETRUSTEEIndividualDANIEL L STEELE 2024 TRUSTPercentage not specifiedCode FNoTRUSTEE02/2024Schedule BPDF page 20
14BRIGID A STEELETRUSTEEIndividualASHLEY E STEELE 2024 TRUSTPercentage not specifiedCode FNoTRUSTEE02/2024Schedule BPDF page 20

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 8/26/2026 9:28:49 AM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.