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BERKELEY CAPITAL MANAGEMENT, LLC

ELLSWORTH, KS · CRD 149229 · IAPD ↗ · berkeleycapitalmanagement.com · (785) 472-2375

$128.5MRegulatory AUM
3Advisory reps
5Employees
0Clients
1-10Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
April 2026 — BERKELEY CAPITAL MANAGEMENT, LLC notice-filed in NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
April 2026 — BERKELEY CAPITAL MANAGEMENT, LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
60
April 2026 — BERKELEY CAPITAL MANAGEMENT, LLC reported RAUM up 28% ($100.0M -> $128.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
75
April 2026 — BERKELEY CAPITAL MANAGEMENT, LLC now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
95
June 2025 — BERKELEY CAPITAL MANAGEMENT, LLC (ELLSWORTH, KS) is newly SEC-registered with $100.0M RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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