CAPITAL IDEAS
CAPITAL IDEAS, INC. Legal Name
Adviser information for CAPITAL IDEAS last updated from Form ADV on March 19th, 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 | Texas, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 5 |
| 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 | 137 | $166.6M |
| Non-Discretionary | 0 | $0 |
| Total | 137 | $166.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 19 | $6.1M |
| HNW Individuals | 42 | $144.5M |
| 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 | <5 | $9.8M |
| 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 | <5 | $2.9M |
| Other | <5 | $3.2M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-66816 |
|---|---|
| SEC ERA File Number | 801-66816 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 114352 |
| Legal Entity Identifier | None |
Principal Office
12720 HILLCREST RDSUITE 910
DALLAS
TX
United States
Monday - Friday, M-THU: 8-4; FRI: 8-3
Tel: 214-750-4400, Fax: 214-691-9822
Websites
Chief Compliance Officer
KAREN BURNS
PRESIDENT/CCO
12720 HILLCREST RD.
SUITE 910
DALLAS
TX
United States
Tel:
214-750-4400
Fax:
214-691-9822
K*****@************M
(Full email address available in API data)
Industry Affiliates
| BEARING FINANCIAL ADVISORS, LLC | Other investment adviser, including financial planners |
| STRATEGIC PORTFOLIO MANAGERS | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BROTT, CLIFFORD, JOHN | Individual | – | CHAIRMAN EMERITUS | 12/2021 | < 5% |
| BURNS, KAREN, RAYBURN | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 06/2006 | < 5% |
| KERAI, ANDREW, PETER | Individual | – | CHAIRMAN | 12/2021 | < 5% |
| ALPHA CAPITAL DALLAS, LLC | Domestic Entity | – | SHAREHOLDER | 12/2021 | > 75% |
| KERAI, ANDREW, PETER | Individual | ALPHA CAPITAL DALLAS, LLC | MANAGING PARTNER | 12/2021 | 25-50% |
| Jacobson, James | Individual | ALPHA CAPITAL DALLAS, LLC | MEMBER | 12/2021 | 25-50% |