CAPITAL INVESTMENT ADVISORS
CAPITAL INVESTMENT ADVISORS, INC. Legal Name
Adviser information for CAPITAL INVESTMENT ADVISORS last updated from Form ADV on September 29th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | District of Columbia, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,907 | $299.6M |
| Non-Discretionary | 62 | $12.4M |
| Total | 1,969 | $312.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 534 | $169.6M |
| HNW Individuals | 59 | $104.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 25 | $27.3M |
| Charitable organizations | <5 | $6.4M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 6 | $4.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 23 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-110008 |
|---|---|
| SEC ERA File Number | 801-110008 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118269 |
| Legal Entity Identifier | None |
Principal Office
1000 POTOMAC STREET N.W.SUITE 300
WASHINGTON D.C.
DC
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 240-482-4000, Fax: 240-482-4001
Chief Compliance Officer
JOHN E. GIROUARD
PRESIDENT & CEO
1000 POTOMAC STREET N.W.
SUITE 300
WASHINGTON D.C.
DC
United States
Tel:
240.482.4000
J***********@*************M
(Full email address available in API data)
Regulatory Contact
RICHARD A. WEINBERG
EVP & CFO
1000 POTOMAC ST, NW
SUITE 300
WASHINGTON D.C.
DC
United States
Tel:
240-482-4003
Fax:
240-482-4001
Industry Affiliates
| AGI FINANCIAL SERVICES, INC. | Insurance company or agency |
| INSURANCE AGENCY | Insurance company or agency |
| RICHARD A WEINBERG, CPA | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GIROUARD, JOHN, EDWARD | Individual | – | PRESIDENT, CEO, CCO | 03/1998 | < 5% |
| GIROUARD, COLLEEN, MARIE | Individual | – | SECRETARY & TREASURER | 03/1998 | < 5% |
| WEINBERG, RICHARD, ALLEN | Individual | – | EXECUTIVE VICE PRESIDENT, CFO | 05/2001 | < 5% |
| BOYD, SAMUEL, POWER | Individual | – | SENIOR VICE PRESIDENT | 01/2019 | < 5% |
| CAPITAL ASSET MANAGEMENT GROUP, INC. | Domestic Entity | – | OWNER | 05/2018 | > 75% |
| GIROUARD, JOHN, EDWARD | Individual | CAPITAL ASSET MANAGEMENT GROUP, INC. | OWNER | 03/1998 | > 75% |