Steven Charles Capital Ltd

Steven Charles Capital, Ltd. is a SEC-registered investment adviser established in 1986, with its principal place of business in Rochester, New York. The firm offers individualized portfolio management and supervisory services, managing advisory accounts on a discretionary basis. They tailor investment strategies based on client goals, risk tolerance, and liquidity needs, investing in various securities including corporate debt, municipal securities, and interests in real estate and oil and gas partnerships. Steven Charles Capital manages $120 million of clients' assets as of December 2022. Fees for investment supervisory services are based on total asset value, with a tiered fee structure. The firm may negotiate fees for accounts over $10 million and charges a minimum annual fee of $5,000 for accounts below $500,000. Clients may terminate the advisory relationship with a 30-day notice. The firm's investment strategies include long-term purchases, margin transactions, and option writing. Steven Charles Capital acts as a fiduciary for ERISA accounts, ensuring that fees do not conflict with regulatory requirements. The firm's investment analysis methods include fundamental, quantitative, and qualitative analysis, asset allocation, and mutual fund/ETF analysis. Steven Charles Capital does not have any reportable disciplinary events and operates with a Code of Ethics to ensure ethical business conduct. Clients have investment discretion, allowing the firm to make trades based on individual client objectives. The firm does not accept voting authority for client securities. Steven Charles Capital does not have custody of client accounts and provides regular reports and statements for client review.