Capital Management Llc

Capital Management Llc


628 Green Valley Road Suite 204

Greensboro, NC 27408



No. advisers: 9

AUM: $986,806,706

Asset Breakdown

Employees 9
High-net-worth individuals 26-50%
Financial planning clients 1-10
High-net-worth client assets Up to 25%
Percentage of assets under management Yes
Hourly charges No
Subscription fees No
Fixed fees Yes
Commissions No
Performance-based fees Yes
Total AUM Total Accounts Avg. Account AUM
Discretionary $864,661,760 128 $6,755,170
Non-discretionary 122144946 9 $13,571,661
Total $986,806,706 137 $7,202,969

Industry to face fresh wave of unpaid arbitration claims

November 20, 2019 - The Financial Industry Regulatory Authority Inc., along with the rest of the securities industry, is staring at a fresh wave of unpaid — and embarrassing — arbitration awards. Arb awards go unpaid when investors win lawsuits against broker-dealers...

Two small broker-dealers are down — and out

October 10, 2019 - Two small broker-dealers with different business models, one for retail reps and the other a wholesaler of alternative and real estate funds, are closing their doors. The former B-D, Taylor Capital Management, is potentially facing dozens if not hundreds...

SEC reaches nearly $10 million settlement with 17 additional firms in share-class crackdown

September 30, 2019 - Another 17 investment advisory firms have agreed to return nearly $10 million to investors in the latest round of settlements in the Securities and Exchange Commission's crackdown on inadequate disclosure of mutual fund fees, the agency announced Monday....

Can a recession benefit an advice firm?

September 21, 2019 - To hear Leon LaBrecque talk about how to prepare a financial advisory firm for an economic downturn, one might assume he is actually rooting for such a scenario. Truth is, the chief growth officer at Sequoia Financial Group has learned through decades...

Bonhill's Women in Asset Management award winners

September 20, 2019 - Sixteen women won Women in Asset Management awards in New York on Sept. 12, the first such awards sponsored in the U.S. by London-based Bonhill Group, the parent company of InvestmentNews. Recognizing the imbalance of women at senior-level positions within...

  • 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 2,206 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of May 1, 2019. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after January 1, 2018, (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.


Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting It'll help us continue to serve you.

Yes, show me how to whitelist

Ad blocker detected. Please whitelist us or give premium a try.