# Nicholas Smith

> Nicholas Smith is a fee-only financial advisor at Steele Capital Management in Dubuque, Iowa, who holds the CFP credential. Steele Capital Management reports charging a percentage of assets on its Form ADV.

Page: https://find.wellspent.co/advisors/nicholas-smith/
Built from SEC adviser records; last checked October 30, 2026.

## Facts

- **Firm:** Steele Capital Management
- **Based in:** Dubuque, Iowa
- **Fee model (firm's Form ADV):** Percentage of assets
- **Assets under management (firm):** $3.55B across 4,418 accounts
- **Credentials:** CFP
- **CRD:** 5340984 (https://adviserinfo.sec.gov/individual/summary/5340984)
- **SEC registration:** Investment adviser representative in IA
- **Exams passed:** Series 65 (2007)
- **Firm size:** 15 employees
- **Disclosures:** None reported
- **Website:** http://www.steelecapital.com

## Frequently asked questions

### Is Nicholas Smith a fee-only financial advisor?

Yes, according to SEC records as of October 29, 2026: Nicholas holds no broker registration, and Steele Capital Management reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.

### How does Nicholas charge for financial advice?

Nicholas's firm, Steele Capital Management, reports charging a percentage of assets on its SEC Form ADV.

### Where is Nicholas Smith based?

Nicholas Smith is based in Dubuque, Iowa.

### What credentials does Nicholas Smith hold?

Nicholas Smith holds the CFP credential.

### Is Nicholas Smith registered with the SEC?

Yes. Nicholas Smith is registered as an investment adviser representative in IA (CRD 5340984), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.

### How much does Steele Capital Management manage?

Steele Capital Management reports $3.55B across 4,418 accounts in assets under management.

### How do I contact Nicholas Smith?

Through Nicholas's website, www.steelecapital.com.

## Sources

- SEC adviser records (https://adviserinfo.sec.gov/individual/summary/5340984): the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- SEC Investment Adviser Public Disclosure and Form ADV: registration, exams, and firm facts, data as of October 29, 2026

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Source: Wellspent, the public graph of fee-only advisors (https://find.wellspent.co). No paid placement.