CAPITAL MANAGEMENT LLC
Adviser information for CAPITAL MANAGEMENT LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | North Carolina, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 482 | $290.7M |
| Non-Discretionary | 21 | $34.2M |
| Total | 503 | $324.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 131 | $41.0M |
| HNW Individuals | 84 | $260.0M |
| 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 | <5 | $23.5M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $385,924 |
| 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 | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-55753 |
|---|---|
| SEC ERA File Number | 801-55753 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109416 |
| Legal Entity Identifier | None |
Principal Office
628 GREEN VALLEY ROADSUITE 204
GREENSBORO
NC
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 336-856-2911, Fax: 336-856-9199
Websites
Chief Compliance Officer
LISA JACOBUS
DIRECTOR OF OPERATIONS
628 GREEN VALLEY RD.
SUITE 204
GREENSBORO
NC
United States
Tel:
(336) 856-2911
Fax:
(336) 856-9199
L*******@*****************M
(Full email address available in API data)
Regulatory Contact
DAVID P. GRAY
CEO/MANAGING PARTNER
628 GREEN VALLEY RD
SUITE 204
GREENSBORO
NC
United States
Tel:
(336) 856-2911
Fax:
(336) 856-9199
D****@*****************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 |
|---|---|---|---|---|---|
| GRAY, DAVID, PEELE | Individual | – | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER | 03/2009 | > 75% |
| WILLIAMS, JOSEPH, CHRISTIAN | Individual | – | MINORITY SHAREHOLDER | 05/2022 | 5-10% |