Capital Management

Capital Management

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628 Green Valley Road, Suite 204

Greensboro, NC 27408

336-856-2911

capitalmgmtinc.com

No. advisers: 3

AUM: $185,397,271

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 $108,659,600 282 $385,318
Non-discretionary 76737671 146 $525,600
Total $185,397,271 428 $433,171

SEC bars New York adviser for fraud

December 15, 2017 - The Securities and Exchange Commission has barred Justin D. Meadlin from the securities industry for using false and misleading information "to induce prospective investors and clients to invest money" with him and his firm, New York-based Hyaline Capital...

More advisory firms develop bench strength as competition for heavy hitters intensifies

December 11, 2017 - Building a top-performing team is one of the biggest challenges facing leaders in any field. As increased competition for top talent continues to grow, compensation is outpacing the rate of revenue growth. This makes human capital management and strategic...

Largest fee-only RIAs by region, based on assets under management

December 9, 2017 - Northeastern success stories Rank Firm Phone/website Total assets ($M) Total accounts Discretionary assets ($M) Discretionary accounts Nondiscretionary assets ($M) Nondiscretionary accounts Employees 1 Silvercrest Asset Management Group (212) 649-0600...

Texas REIT sues hedge fund boss Kyle Bass

November 30, 2017 - A troubled real estate development company in Texas, United Development Funding, on Tuesday filed a lawsuit against hedge fund boss Kyle Bass for making allegedly "false and disparaging statements" in 2015 conveying that various UDF real estate investment...

Three former TD execs have big plans for small TAMP

November 13, 2017 - Three former TD Ameritrade executives are taking over a small turnkey asset management platform with hopes of turning it into a major player in the wealth management industry. Bryce Engel, a former senior vice president and chief brokerage officer at...

Using investment assets to support disaster recovery

November 7, 2017 - With disasters over the past few months hampering Florida, Puerto Rico, Texas and California, how can your investment dollars help these areas recover? Alyssa Greenspan of Community Capital Management has some ideas.

Technology issues test RIAs and custodians

November 4, 2017 - Gather the technology leaders of competing custodians and registered investment advisers of various sizes, and there are sure to be some disagreements about whether robo-advisers are a blessing or a curse and which are the greatest cybersecurity threats....

    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 1,937 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of November 1, 2017. 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) nor one who is an insurance company or agency.

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