Nicholas Smith is a CFP-designated registered investment advisor at Steele Capital Management, INC., based in Dubuque, IA, with 19 years of industry experience. Nicholas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 1,644 clients with $3.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Annual fee is negotiated as a percentage of assets under management, not to exceed 1.50%. Steele Capital Management may decrease its annual minimum fee and/or charge a lesser management fee in its sole discretion.
Fee Estimator
Location
1000 Jackson Street, Suite 201, Dubuque, IA, 52001
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Nicholas is a sole proprietor farmer in the Epworth, IA area. This business is not investment-related and takes about a quarter of his time.
Employment History
Current Registrations
Steele Capital Management, INC.
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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