STERNECK CAPITAL MANAGEMENT LLC

C36
CRD 111463·SEC 801-45256·KANSAS CITY, MO
AUM
$327.9M
$100M-$500M
Est. Revenue
$3.3M
@ 1% on AUM
Est. EBITDA
$984K
@ 30% margin
Est. Deal Value
$7.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
STERNECK CAPITAL MANAGEMENT LLC
CRD
111463
SEC file #
801-45256
EIN
222988722
DBA names

Economics

AUM
$327.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$218.7M → $327.9M▲ +50%
Client mix
Individuals High Net Worth129
Individuals Other120
Charitable Organizations8
Corporations8

Operations

Employees (total)
5
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
4 advisors → 4 advisors▬ 0%
Primary office
KANSAS CITY MO
Branches

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPublication of periodicalsEducational Seminars Workshops
Fee basis
% of AUMFixed feesOther Compensation

Filings

Latest ADV filing
01/30/2026
ADV-W filed at

Compliance

Disclosures (firm)
0
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
DRAKE, AUSTIN, LLOYD
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
DRAKE, AUSTIN, LLOYD
STERNECK, FRANK, MARTIN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
STERNECKCAPITAL.COM
Rdap Domain Creation Date
2003-03-28T22:24:41Z
Rdap Firm Age Years
23
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001438574
Edgar Registered
Yes
Edgar Filing Count
75
Edgar First Filing Date
2009-02-12
Edgar Last Filing Date
2026-04-17
Edgar 13f Count
73
Edgar 13f Latest AUM Estimate
Filing Date2026-04-17
Accession0001438574-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
1251 NW BRIARCLIFF PKWY#95KANSAS CITY, MO 64116
Business
1251 NW BRIARCLIFF PKWY#95KANSAS CITY, MO 64116
Edgar EIN
222988722
Edgar Recent Filings
13F-HR2026-04-17 · 0001438574-26-000002
13F-HR2026-01-22 · 0001438574-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-03-28T21:24:41Z
Rdap Domain Last Changed
2026-03-13T22:29:26Z
Rdap Nameservers
Ns11.domaincontrol.comNs12.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
6365082
Trust Company Affiliate
No