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STEVEN CHARLES CAPITAL LTD

ROCHESTER, NY · CRD 104814 · IAPD ↗ · stevencharlescapital.com · 585-325-1870

$125.0MRegulatory AUM
2Advisory reps
2Employees
50Clients
26-50Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
January 2026 — STEVEN CHARLES CAPITAL LTD (ROCHESTER, NY) left the SEC roster (was $125.0M RAUM, 2 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.