COLLEGIATE CAPITAL MANAGEMENT, INC.
Adviser information for COLLEGIATE CAPITAL MANAGEMENT, INC. last updated from Form ADV on March 21st, 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 | North Carolina, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,670 | $456.2M |
| Non-Discretionary | 145 | $42.4M |
| Total | 1,815 | $498.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 206 | $79.8M |
| HNW Individuals | 170 | $404.2M |
| 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 | $3.5M |
| 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 | 13 | $11.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 352.5M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| THE COLLEGIATE CAPITAL MANAGEMENT, INC. WRAP FEE PROGRAM | COLLEGIATE CAPITAL MANAGEMENT, INC. |
Identifiers
| SEC RIA File Number | 801-64622 |
|---|---|
| SEC ERA File Number | 801-64622 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118205 |
| Legal Entity Identifier | None |
Principal Office
214 NEW BERN PLACERALEIGH
NC
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 919-838-0101, Fax: 919-838-0102
Chief Compliance Officer
TONY WAYNE SIGMON
PRESIDENT
214 NEW BERN PLACE
RALEIGH
NC
United States
Tel:
919-838-0101
Fax:
919-838-0102
T****@********************M
(Full email address available in API data)
Regulatory Contact
ERIN CAPPS
CHIEF OPERATING OFFICER
214 NEW BERN PLACE
RALEIGH
NC
United States
Tel:
919-838-0101
Fax:
919-838-0102
E*****@********************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 |
|---|---|---|---|---|---|
| SIGMON, TONY, WAYNE | Individual | – | PRESIDENT,CHIEF COMPLIANCE OFFICER | 07/1994 | > 75% |
| CAPPS, ERIN, REBECCA | Individual | – | CHIEF OPERATING OFFICER AND DIRECTOR OF COMPLIANCE | 03/2018 | < 5% |