CAPITAL INVESTMENT COUNSEL, LLC
Adviser information for CAPITAL INVESTMENT COUNSEL, LLC last updated from Form ADV on February 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 730 | $544.3M |
| Non-Discretionary | 14 | $4.1M |
| Total | 744 | $548.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 49 | $23.8M |
| HNW Individuals | 138 | $505.5M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $19.1M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-128941 |
|---|---|
| SEC ERA File Number | 801-128941 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 328472 |
| Legal Entity Identifier | None |
Principal Office
600 GRANT ST.STE. 450
DENVER
CO
United States
BY APPOINTMENT ONLY, 8:00AM-4:30PM
Tel: (303) 381-0200, Fax: None
Chief Compliance Officer
SAMANTHA COX
OPERATIONS MANAGER
600 GRANT ST.
STE. 450
DENVER
CO
United States
Tel:
(303) 381-0200
S*******@********************M
(Full email address available in API data)
Regulatory Contact
CHRISTIAN K. JOHNSON JR.
MANAGING MEMBER
600 GRANT ST.
STE. 450
DENVER
CO
United States
Tel:
(303) 381-0200
C****@********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JOHNSON, CHRISTIAN, KENT | Individual | – | MANAGING MEMBER | 11/2023 | > 75% |
| Johnson, Jake, Aldridge | Individual | – | MANAGING MEMBER | 11/2023 | 10-25% |
| COX, SAMANTHA, JEANNE | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2024 | < 5% |