CAPITAL CITIES INVESTMENTS
Adviser information for CAPITAL CITIES INVESTMENTS last updated from Form ADV on March 14th, 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 | Indiana, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 19 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 19 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,547 | $270.5M |
| Non-Discretionary | 0 | $0 |
| Total | 1,547 | $270.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 511 | $145.1M |
| HNW Individuals | 68 | $125.4M |
| 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 | 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 businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
Identifiers
| SEC RIA File Number | 801-69504 |
|---|---|
| SEC ERA File Number | 801-69504 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 116185 |
| Legal Entity Identifier | None |
Principal Office
426 EAST NEW YORK STREETINDIANAPOLIS
IN
United States
Monday - Friday, 8:00AM-5:00PM
Tel: 317-475-4500, Fax: 317-534-3006
Chief Compliance Officer
WILLIAM MAUGER
PRESIDENT
426 EAST NEW YORK STREET
INDIANAPOLIS
IN
United States
Tel:
317-475-4500
Fax:
317-534-3006
B******@************T
(Full email address available in API data)
Regulatory Contact
BRYAN ALEXANDER
DIRECTOR, BUSINESS DEVELOPMENT & AFFILIATE SUPPORT
426 EAST NEW YORK STREET
INDIANAPOLIS
IN
United States
Tel:
317-475-4500
Fax:
317-534-3006
B*********@************T
(Full email address available in API data)
Industry Affiliates
| CAPITAL CITIES, LLC | 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 | – | CHAIRMAN OF THE BOARD/CHIEF COMPLIANCE OFFICER/MANAGING MEMBER | 03/1995 | 50-75% |
| WILEY, JOE, BILL | Individual | – | PRESIDENT/MEMBER | 03/1995 | 25-50% |
| BLACK, AMANDA, JANE | Individual | – | CHIEF EXECUTIVE OFFICER/MEMBER | 01/2017 | 10-25% |
| SPUDICH, TIFFANY, JANEA | Individual | – | MEMBER/CHIEF CLIENT OFFICER | 01/2017 | < 5% |