Capital Management Llc

Capital Management Llc

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628 Green Valley Road Suite 204

Greensboro, NC 27408

336-856-2911

Capitalmgmtinc.Com

No. advisers: 9

AUM: $986,806,706

Asset Breakdown

Staff
Employees 9
Clients
High-net-worth individuals 26-50%
Financial planning clients 1-10
High-net-worth client assets Up to 25%
Compensation
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

RIA to buy $300 million fixed-income business

July 25, 2019 - Lido Advisors, a Los Angeles-based registered investment adviser, will acquire the Los Angeles-based fixed income portfolio management team from Denver-based First Western Financial as well as over $300 million in assets currently held through First Western...

Former Beverly Hills rep found guilty of $200 million fraud scheme

July 15, 2019 - Former Beverly Hills stockbroker and B-D owner Todd Ficeto, 52, of Marion, Ohio, has been found guilty on several counts of participating in a stock manipulation scheme designed to pump up the reported profits of hedge funds that fraudulently caused investors...

    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.

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*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.

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