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Investment Adviser Firm Summary

STEELE CAPITAL MANAGEMENT, INC. (CRD# 107097 / SEC# 801-50636)
Alternate Names: STEELE CAPITAL MANAGEMENT, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/17/1995
California Cancelled 01/23/2003
Massachusetts Terminated 11/15/2004
Minnesota Terminated 10/03/2002
Nebraska Terminated 11/19/2004
North Carolina Terminated 11/15/2004
Rhode Island Cancelled 04/22/2003
Texas Cancelled 04/11/2003

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 12/11/2012
California 09/20/2002
Colorado 10/20/2016
Florida 05/01/1997
Georgia 12/09/2014
Illinois 04/03/1996
Iowa 01/27/1999
Michigan 12/10/2013
Minnesota 10/03/2002
Missouri 12/17/2009
Nebraska 10/29/2003
New Jersey 12/18/2012
New York 07/22/2008
North Carolina 11/19/2004
Rhode Island 05/02/2003
South Dakota 08/16/2004
Texas 04/11/2003
Wisconsin 05/01/1996

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser