CAPITAL CONSULTING & ASSET MANAGEMENT
CAPITAL CONSULTING & ASSET MANAGEMENT, INC. Legal Name
Adviser information for CAPITAL CONSULTING & ASSET MANAGEMENT last updated from Form ADV on March 29th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Nebraska, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,290 | $196.3M |
| Non-Discretionary | 200 | $100.0M |
| Total | 1,490 | $296.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 106 | $147.2M |
| HNW Individuals | 50 | $49.1M |
| 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 | 0 | $0 |
| 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 | <5 | $100.0M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-52357 |
|---|---|
| SEC ERA File Number | 801-52357 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 41438 |
| Legal Entity Identifier | None |
Principal Office
140 N. 8TH STREET410 THE APOTHECARY
LINCOLN
NE
United States
Monday - Friday, 8:30 AM TO 5:30 PM
Tel: 402-477-2500, Fax: 866-884-8816
Websites
Chief Compliance Officer
AMBER ROEMER
CCO
140 N 8TH ST.
410 THE APOTHECARY
LINCOLN
NE
United States
Tel:
402-477-2500
Fax:
866-884-8816
C***@*******T
(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 |
|---|---|---|---|---|---|
| NIXON, ROBERT, EUGENE | Individual | – | PRESIDENT | 05/1996 | > 75% |
| ROEMER, AMBER, RAE | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2012 | < 5% |