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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

STERNECK CAPITAL MANAGEMENT LLC

CRD 111463

KANSAS CITY, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0e65b7d1-69b4-b59b-4b6c-25e822f33b3c

Data as of Jul 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Jul 7, 2026
36 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $328MItem 5.F on the latest filing (2026-07-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $309M
Private client RAUM: $323MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $82.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 4
Offices: 5Schedule D 1.F, beyond the principal office
Accounts: 670
Individual clients: 120
High net worth clients: 129
Custody, client assets: $4.4M
SEC number: 801-45256
CIK: 1438574
CRD: 111463
Filings on the tape: 36
First filed: Mar 30, 2012
Latest filed: Jul 7, 2026
Organised: Limited Liability Company, DE
Website: sterneckcapital.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
FRANK MARTIN STERNECK	n/a	KANSAS CITY, MO \| Park City, UT	16	37	1	no
ROBIN PEPPE STERNECK	n/a	KANSAS CITY, MO	11	42	n/a	no
BRANDIE MIGNON GIFFIN	n/a	KANSAS CITY, MO \| Waterloo, NE	9	12	n/a	no
AUSTIN LLOYD DRAKE	Certified Financial Planner	KANSAS CITY, MO	7	12	n/a	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
STERNECK VALUE & OPPORTUNITY, LP	Hedge Fund	$9.4M	Mar 31, 2017	27	Mar 30, 2012	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
GIFFIN, BRANDIE, MIGNON	CHIEF OPERATING OFFICER; CHIEF COMPLIANCE OFFICER	Na	yes	09/2018	Sep 24, 2018	Jun 26, 2024
STERNECK, FRANK, MARTIN	MANAGING MEMBER	D	yes	12/1999	Mar 30, 2012	Jun 26, 2024
STERNECK, ROBIN, PEPPE	President	D	yes	01/2016	Mar 30, 2018	Jun 26, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 30, 2026	$328M	$309M	5	4	5	n/a	n/a
2024	Mar 31, 2025	$278M	$263M	5	4	5	n/a	n/a
2023	Mar 28, 2024	$255M	$239M	6	5	6	n/a	n/a
2022	Mar 17, 2023	$239M	$225M	6	5	3	n/a	n/a
2021	Mar 30, 2022	$276M	$253M	6	5	3	n/a	n/a
2020	Mar 29, 2021	$233M	$212M	5	4	1	n/a	n/a
2019	Mar 26, 2020	$226M	$204M	5	4	1	n/a	n/a
2018	Mar 29, 2019	$219M	$197M	5	4	2	n/a	n/a
2017	Mar 30, 2018	$381M	$341M	8	7	2	n/a	n/a
2016	Mar 31, 2017	$340M	$315M	9	7	n/a	1	$9.4M
2015	Mar 30, 2016	$306M	$306M	9	6	n/a	1	$9.4M
2014	Mar 31, 2015	$310M	$310M	9	6	n/a	1	$9.4M
2013	Mar 29, 2014	$446M	$442M	11	10	n/a	1	$9.4M
2012	Apr 1, 2013	$361M	$356M	8	7	n/a	1	$9.4M
2011	Mar 30, 2012	$339M	$334M	n/a	n/a	n/a	1	$11.2M

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$328M	$278M	18.0%	$239M	11.1%	5	5	5	5

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CAPITAL-E-ADVISORS	2	Sep 25, 2018	Sep 18, 2018	KANSAS CITY, MO	Team lift out	RIA to state RIA	33.3%

Relationships

Registered with (10)

← AUSTIN LLOYD DRAKEAdvisorregistration: current employment
Apr 15, 2019 to presentfactForm ADV
← BRANDIE MIGNON GIFFINAdvisorregistration: current employment
Dec 7, 2016 to presentfactForm ADV
← ROBIN PEPPE STERNECKAdvisorregistration: current employment
Jun 29, 2015 to presentfactForm ADV
← FRANK MARTIN STERNECKAdvisorregistration: current employment
Dec 7, 2009 to presentfactForm ADV
← ALEC JOHN BETHURUMAdvisorregistration: previous registration
Feb 3, 2017 to May 10, 2024factForm ADV
← ZACHARY REED EMSLIEAdvisorregistration: previous registration
Aug 17, 2011 to Sep 25, 2018factForm ADV
← REGAN PAUL ERVINAdvisorregistration: previous registration
Sep 7, 2009 to Sep 25, 2018factForm ADV
← Brian George SwimAdvisorregistration: previous registration
Nov 7, 2013 to Jan 15, 2016factForm ADV
← LARISA SHAROCKMANAdvisorregistration: previous registration
Apr 14, 2014 to Nov 28, 2014factForm ADV
← HENRY STEPHEN LANEAdvisorregistration: previous registration
May 27, 2009 to Nov 28, 2014factForm ADV

Controls (3)

← STERNECK, FRANK, MARTINOwnerMANAGING MEMBER, ownership code D, individual
Mar 30, 2012 to Jun 26, 2024factForm ADV
← STERNECK, ROBIN, PEPPEOwnerPRESIDENT, ownership code D, individual
Mar 30, 2018 to Jun 26, 2024factForm ADV
← GIFFIN, BRANDIE, MIGNONOwnerCHIEF OPERATING OFFICER; CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 24, 2018 to Jun 26, 2024factForm ADV

Moved with (1)

→ CAPITAL-E-ADVISORSRegistered adviser2 advisors, team lift out, same day
Sep 25, 2018 to Sep 18, 2018factForm ADV

Advises (1)

→ STERNECK VALUE & OPPORTUNITY, LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Mar 31, 2017factForm ADV

Dated events

Occurred
May 10, 2024
Advisor changed firm
Alec John Bethurum left Sterneck Capital Management Llc for Newedge Advisors (registered 2024-08-01)
Form ADVobserved 5 days ago
Occurred
Mar 29, 2019
Regulatory AUM changed
Sterneck Capital Management Llc reported RAUM $218.7M, down 43% from $380.6M (2018-09-24 to 2019-03-29)
Form ADVobserved 5 days ago
$-162M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0e65b7d1-69b4-b59b-4b6c-25e822f33b3c
First observed: Mar 30, 2012
Last observed: Jul 7, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

STERNECK CAPITAL MANAGEMENT LLC

CRD 111463

KANSAS CITY, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0e65b7d1-69b4-b59b-4b6c-25e822f33b3c

Data as of Jul 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:34 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

FRANK MARTIN STERNECK

n/a

KANSAS CITY, MO | Park City, UT

ROBIN PEPPE STERNECK

n/a

KANSAS CITY, MO

n/a

BRANDIE MIGNON GIFFIN

n/a

KANSAS CITY, MO | Waterloo, NE

n/a

AUSTIN LLOYD DRAKE

Certified Financial Planner

KANSAS CITY, MO

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

STERNECK VALUE & OPPORTUNITY, LP

Hedge Fund

$9.4M

Mar 31, 2017

Mar 30, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GIFFIN, BRANDIE, MIGNON

CHIEF OPERATING OFFICER; CHIEF COMPLIANCE OFFICER

yes

09/2018

Sep 24, 2018

Jun 26, 2024

STERNECK, FRANK, MARTIN

MANAGING MEMBER

yes

12/1999

Mar 30, 2012

Jun 26, 2024

STERNECK, ROBIN, PEPPE

President

yes

01/2016

Mar 30, 2018

Jun 26, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 30, 2026

$328M

$309M

n/a

2024

Mar 31, 2025

$278M

$263M

n/a

2023

Mar 28, 2024

$255M

$239M

n/a

2022

Mar 17, 2023

$239M

$225M

n/a

2021

Mar 30, 2022

$276M

$253M

n/a

2020

Mar 29, 2021

$233M

$212M

n/a

2019

Mar 26, 2020

$226M

$204M

n/a

2018

Mar 29, 2019

$219M

$197M

n/a

2017

Mar 30, 2018

$381M

$341M

n/a

2016

Mar 31, 2017

$340M

$315M

n/a

$9.4M

2015

Mar 30, 2016

$306M

n/a

$9.4M

2014

Mar 31, 2015

$310M

n/a

$9.4M

2013

Mar 29, 2014

$446M

$442M

n/a

$9.4M

2012

Apr 1, 2013

$361M

$356M

n/a

$9.4M

2011

Mar 30, 2012

$339M

$334M

n/a

$11.2M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$328M

$278M

18.0%

$239M

11.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CAPITAL-E-ADVISORS

Sep 25, 2018

Sep 18, 2018

KANSAS CITY, MO

Team lift out

RIA to state RIA

33.3%