Capital Management

Capital Management

Share:

628 Green Valley Road, Suite 204

Greensboro, NC 27408

336-856-2911

capitalmgmtinc.com

No. advisers: 3

AUM: $183,455,964

Asset Breakdown

Staff
Employees 3
Clients
High-net-worth individuals 51-75%
Financial planning clients N/A
High-net-worth client assets Up to 75%
Compensation
Percentage of assets under management Yes
Hourly charges Yes
Subscription fees No
Fixed fees Yes
Commissions No
Performance-based fees No
Total AUM Total Accounts Avg. Account AUM
Discretionary $104,608,728 284 $368,341
Non-discretionary 78847236 150 $525,648
Total $183,455,964 434 $422,710

Trump miscues, more cash becoming available will drive summer muni bond rally

May 19, 2017 - Municipal bonds got a lift this week as turmoil surrounding President Donald J. Trump's administration sparked a flight to safe assets. An even bigger boost will come this summer as investors will receive a flood of cash that will outstrip the sale of...

Wells Fargo FiNet loses $275 million team to Raymond James

May 18, 2017 - Jeff Holloway and Sean Harman and their team in Kansas City, Mo., have switched affiliations from Wells Fargo Advisors Financial Network to the independent unit of Raymond James. The five-person team, operating as Holloway Harman & Associates, managed...

How to handle getting fired by a client

May 1, 2017 - Unlike fishermen, financial advisers don't typically boast about the one that got away. But when pressed to reflect on the times they've been fired by clients, the stories can be insightful, educational and even entertaining. "In 28 years, I've had a...

Navigating the Investing Complexities of China

April 27, 2017 - After an extremely rapid industrial transformation, China sits at a crossroads that presents both compelling opportunities and significant risks. However, investing success demands a deep understanding of China’s long-term plans, political landscape...

Trump's plan to ditch AMT welcomed by advisers, but tax savings may be minimal

April 27, 2017 - The Trump administration's proposed repeal of the alternative minimum tax might remove some tax-planning headaches, but it isn't likely to reduce anybody's tax burden, according to tax-planning experts. The AMT, which adds an extra layer of tax calculations...

Dynasty Financial Partners adds $750 million RIA

April 17, 2017 - Next Capital Management, a 13-person registered investment advisory firm in New York managing $750 million in assets, has joined Dynasty Financial Partners. The firm, which was founded in 1999, is led by Andrew Hart, who formerly oversaw a team at the...

Advisers split on whether cutting fees for clients is good business

April 17, 2017 - The increased price transparency of the financial services industry in recent years is leading more clients to ask their financial advisers for a break on fees. Negotiating is fair game to some financial advisers. They're willing to discuss whether the...

Savvy RIAs are waving the fiduciary flag

April 3, 2017 - When Joseph Tatusko sent out a press release last month announcing the launch of his new advisory firm, Mill Hill Advisors, the focus was on "fiduciary money management," which speaks volumes about how mainstream the idea of fiduciary has become. Mr....

Jay Clayton talked to several wealthy Trump backers before nomination to SEC

April 3, 2017 - Jay Clayton, the deals lawyer nominated to lead the Securities and Exchange Commission, had "substantive" communications with several wealthy backers of then President-elect Donald J. Trump before he was offered the job in January. Mr. Clayton had conversations...

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

Purchase the data and information contained in the RIA Data Center in an Excel spreadsheet.

For comments or suggestions about the Adviser Center, please contact us.

Reprints: For reprints of these rankings, please contact Laura Picariello.

*Methodology: InvestmentNews qualified 1,778 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of November 1, 2016. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after January 1, 2016, (2) total AUM is at least $100M, (3) does not have employees who are registered representatives of a broker-dealer, (4) provided investment advisory services to clients during its most recently completed fiscal year, (5) no more than 50% of amount of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies), (6) no more than 25% of amount of regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants), (7) no more than 25% of amount of regulatory assets under management is attributable to corporations or other businesses, (8) does not receive commissions, (9) provides financial planning services, (10) is not actively engaged in business as a broker-dealer (registered or unregistered), (11) is not actively engaged in business as a registered representative of a broker-dealer, (12) has neither a related person who is a broker-dealer/municipal securities dealer/government securities broker or dealer (registered or unregistered) not one who is an insurance company or agency.

Latest news & opinion

Advisers go on the offensive, getting clients ready for the next market correction

Some proactive planners are spelling out for clients the impact of a 10% or 20% correction.

Acosta declines to extend delay of DOL fiduciary rule

Labor Secretary finds no legal basis to delay implementation; rule to become applicable June 9

Phyllis Borzi says opponents of DOL fiduciary rule face uphill climb to further delay or dilute it

Former assistant Labor secretary who crafted the rule says President Trump won't be able to get rid of it simply because he doesn't like it.

Shrinking talent pool puts strain on advisory firms

Attrition, cuts in training programs and new competition make it difficult to fill job openings

Trump miscues, more cash becoming available will drive summer muni bond rally

As Trump agenda derails, municipal bonds are benefitting from flight to safety as well as a mismatch between bonds maturing and new issues.