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

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...

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...

Raymond James' Alex Brown unit loses team to SunTrust

April 4, 2017 - Two veteran brokers most recently with the Alex Brown division of Raymond James have moved to SunTrust Private Wealth Management in Atlanta. Joining Todd Ryman and Will Rhodes at their new firm is Luke Bennett, most recently a partner with Salvus Capital...

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...

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....

UBS team in Lexington, Ky. leaves to form RIA

March 28, 2017 - Jeremy Wallace and Andrew Hart, financial planners at UBS in Lexington, Ky., have left the firm along with partner Jessica Bedell to form Wallace Hart Capital Management. The three managed more than $113 million in client assets at UBS. The new registered...

The full list of 2017 Lipper Fund Awards winners

March 23, 2017 - The Thomson Reuters Lipper Fund Awards winners have been announced. Lipper measures the winners by their risk-adjusted returns over multiple periods. Award winners are rewarded for consistency over time, including the top 3-year, 5-year and 10-year funds,...

Trump's SEC nominee Jay Clayton has lucrative ties to Wall Street

March 9, 2017 - President Donald J. Trump's pick to lead the Securities and Exchange Commission has earned $7.62 million since 2015 representing some of Wall Street's biggest firms, including Goldman Sachs Group Inc. and Bill Ackman's Pershing Square Capital Management,...

Judge orders advisory firm to give up Ariel name

March 6, 2017 - When Christopher Bray started his advisory firm three years ago, it seemed like a good idea to name it after his daughter, Ariel, who was 4 years old at the time. And while there was a mutual fund company already named Ariel Investments, Mr. Bray's registered...

    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.