9AT: STEVEN CHARLES CAPITAL LTD

Adviser Profile

As of Date	12/04/2025
Registration status	Terminated
ADV Location	ROCHESTER, NY, United States
Contact Info	585 xxxxxxx
Websites

AUM^*	125,000,000 -4%
of that, discretionary	125,000,000 -4%
Number of Employees	2
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	2,500,000 119%
% High Net Worth	100.00% 9%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- High net worth individuals

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser SILVER OAK WEALTH ADVISORS SERVICES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM300.0m	#Funds-
Adviser JAYKAY WEALTH ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM173.8m	#Funds-
Adviser ORSER CAPITAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM289.8m	#Funds-
Adviser BOSTON MOUNTAIN MONEY MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM196.4m	#Funds-
Adviser JOHNSON WEALTH MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM6.2m	#Funds-
Adviser DUNHAM LANE CAPITAL PARTNERS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM117.2m	#Funds-
Adviser STILES FINANCIAL SERVICES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM548.7m	#Funds-
Adviser LESLIE GLOBAL WEALTH, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM446.8m	#Funds-
Adviser CREW CAPITAL MANAGEMENT, LTD.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM235.4m	#Funds-
Adviser ATLAS FIDUCIARY FINANCIAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM231.2m	#Funds-

Brochure Summary

Overview

Steven Charles Capital, Ltd. ("SCC") is a SEC-registered investment adviser with its principal place of business located in Rochester, New York. Steven Charles Capital began conducting business in 1986. Listed below are the firm's principal shareholders (i.e., those individuals and/or entities controlling 25% or more of this company). ▪ Steven Charles Braverman, CEO/Lead Portfolio Manager Steven Charles Capital offers the following advisory services to our clients: INDIVIDUALIZED PORTFOLIO MANAGEMENT INDIVIDUALIZED SUPERVISORY SERVICES Our firm provides continuous advice to clients regarding the investment of client funds based on the individual needs of the client. Through personal discussions in which a client’s goals and objectives are established, we develop a personal investment policy and create and manage a portfolio based on that policy. During our data-gathering process, we determine the client's individual objectives, time horizons, risk tolerance, and liquidity needs. As appropriate, we also review and discuss a client's prior investment history, as well as family composition and background. We manage these advisory accounts on a discretionary basis. Account supervision is guided by the client’s stated objectives (i.e., maximum capital appreciation, growth, income,

or growth and income), as well as tax considerations. Clients may impose reasonable restrictions on investing in certain securities, types of securities, or industry sectors. Our investment recommendations are not limited to any specific product or service offered by a broker-dealer and will generally include advice regarding the following securities: ▪ Securities traded over-the-counter ▪ Exchange Listed Securities ▪ Corporate debt securities (other than commercial paper) ▪ Municipal securities ▪ United States governmental securities ▪ Interests in partnerships investing in real estate ▪ Interests in partnerships investing in oil and gas interests Because some types of investments involve certain additional degrees of risk, they will only be implemented/recommended when consistent with the client’s stated investment objectives, tolerance for risk, liquidity and suitability. SCC acts a portfolio manager for wrap accounts sponsored by Morgan Stanley and Smith Barney, LLC. SCC participates in a fee sharing arrangement with these entities. Total fees charged to the client will not exceed any regulatory limits. AMOUNT OF MANAGED ASSETS As of December 2023, we were actively managing $130,000,000.00 of clients' assets, all on a discretionary basis.

STEVEN CHARLES CAPITAL LTD

STEVEN CHARLES CAPITAL LTD

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

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Brochure Summary

Overview

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STEVEN CHARLES CAPITAL LTD STEVEN CHARLES CAPITAL LTD

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

STEVEN CHARLES CAPITAL LTD

STEVEN CHARLES CAPITAL LTD