CAPITAL CITIES, LLC
Adviser information for CAPITAL CITIES, LLC last updated from Form ADV on March 27th, 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 | Indiana, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 10 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 19 | $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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 52 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Pension consulting servicesSelection of other advisers (including private fund managers)INVESTMENT CONSULTATIONS |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-69270 |
|---|---|
| SEC ERA File Number | 801-69270 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 122916 |
| Legal Entity Identifier | None |
Principal Office
426 EAST NEW YORK STREETINDIANAPOLIS
IN
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 317-475-4500, Fax: 317-475-4505
Websites
Chief Compliance Officer
WILLIAM M. MAUGER
FOUNDING & MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER
426 EAST NEW YORK STREET
INDIANAPOLIS
IN
United States
Tel:
(317) 475-4500
Fax:
317-475-4505
B******@************T
(Full email address available in API data)
Regulatory Contact
ROBERT PELKEY
PRINCIPAL, DIRECTOR OF OPERATIONS
426 EAST NEW YORK STREET
INDIANAPOLIS
IN
United States
Tel:
317-475-4500
Fax:
317-475-4505
R******@************T
(Full email address available in API data)
Industry Affiliates
| CAPITAL CITIES INVESTMENTS | 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 |
|---|---|---|---|---|---|
| MAUGER, WILLIAM, MAXWELL | Individual | – | FOUNDING & MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER | 03/1998 | 50-75% |
| WILEY, JOE, BILL | Individual | – | FOUNDING PRINCIPAL | 03/1998 | 10-25% |
| BLACK, AMANDA, JANE | Individual | – | PRINCIPAL, CHIEF INVESTMENT OFFICER | 01/2017 | 10-25% |
| SPUDICH, TIFFANY, JANEA | Individual | – | PRINCIPAL, CHIEF INVESTMENT OFFICER | 01/2017 | 10-25% |
| WADDELL, COREY, STEPHEN | Individual | – | PRINCIPAL, DIRECTOR OF CONSULTING | 01/2024 | 5-10% |
| PELKEY, ROBERT, BRIAN | Individual | – | PRINCIPAL, DIRECTOR OF OPERATIONS | 01/2024 | < 5% |