Hedge Fund Database

CAPITAL MARKETS IQ, LLC

Adviser information for CAPITAL MARKETS IQ, LLC last updated from Form ADV on March 26th, 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 Delaware, United States

Employees

Total Number of Employees 24
Investment Advisory/Research 21
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 21
Licensed Agents of an Insurance Company 8
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 628 $302.3M
Non-Discretionary 52 $90.0M
Total 680 $392.3M

Clients

Type Number RAUM
Individuals 474 $87.7M
HNW Individuals 60 $145.4M
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 87 $50.5M
Charitable organizations 7 $3.6M
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 52 $105.2M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 11
No. of Financial Planning Clients 11-25

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshopsBUSINESS CONSULTING
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-69992
SEC ERA File Number 801-69992
SEC CIK Numbers None
SEC CRD Numbers 134921
Legal Entity Identifier None

Principal Office

516 FRANKLIN DRIVE
ARLINGTON
TX
United States
Monday - Friday, 9:00A-5:00P CST
Tel: 310.882.6380, Fax: None

Websites

twitter.com/tandem_finance www.brightsmithadvisors.com/ www.facebook.com/brightsmithadvisors www.facebook.com/kuzma-financial-services-100950591601621 www.veracityfinancialservices.com www.noblestonecapital.com/ www.linkedin.com/company/brightsmith-advisors/ www.facebook.com/tandemfinancial twitter.com/adamvfs www.linkedin.com/company/veracity-financial-services-inc-/ www.kingharborwealth.com twitter.com/veracityfinserv www.linkedin.com/in/capital-markets-iq-llc-b63b10b2/ www.facebook.com/capitalmarketsiq/ www.instagram.com/veracityadvisers/ twitter.com/cmiqlegal twitter.com/kharborwealth www.linkedin.com/company/seagate-global-wealth-management/ www.linkedin.com/company/noblestone-capital/ www.facebook.com/kingharborwealth/ www.facebook.com/veracityadvisers www.linkedin.com/in/michael-mike-dickerson-b441441/ www.linkedin.com/company/king-harbor-wealth/ www.capitalmarketsiq.com www.linkedin.com/in/alankuzma/ www.kuzmafinancialservices.com www.seagateglobalwm.com/ www.facebook.com/profile.php?id=100063652792043 www.linkedin.com/in/ian-johnson-69756b49 www.linkedin.com/in/daniel-millman-cfa-83559bb2/ www.linkedin.com/in/michaelhsimms/ www.linkedin.com/in/thomas-marshburn-28b66b188/ www.linkedin.com/in/sam-talbert-120762105

Chief Compliance Officer

PENELOPE Y. TURNBOW
CHIEF LEGAL OFFICER
2810 N CHURCH ST
PMB 52811
WILMINGTON
DE
United States
Tel: 310-882-6380
(Full email address available in API data)

Industry Affiliates

CAMBRIDGE CAPITAL WEALTH Real estate broker or dealer
CERITY PARTNERS LLC Other investment adviser, including financial planners
GRITS ENTITIES, LLC Accountant or accounting firm
NOBLESTONE CAPITAL LLC Sponsor, GP, manager of pooled investment vehicles
NOBLESTONE INSURANCE SERVICES, LLC Insurance company or agency
NOBLESTONE OZ FUND II, LLC Sponsor, GP, manager of pooled investment vehicles
NOBLESTONE OZ FUND, LLC Sponsor, GP, manager of pooled investment vehicles
NOBLESTONE PRINCETON LLC Sponsor, GP, manager of pooled investment vehicles
NOBLESTONE REAL ESTATE GROWTH STRATEGY LLC Sponsor, GP, manager of pooled investment vehicles
NOBLESTONE REAL ESTATE OPPORTUNITIES FUND, LLC Sponsor, GP, manager of pooled investment vehicles
PENELOPE Y. TURNBOW, ESQ Lawyer or law firm
SAFE MONEY ADVISORS PLLC Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
WISEMAN, KENNETH, NELSON Individual – PRESIDENT 06/2006 < 5%
TURNBOW, PENELOPE, Y Individual – CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER 01/2009 < 5%
EXTENSOR CAPITAL N.A., LLC Domestic Entity – MEMBER 01/2009 25-50%
TURNBOW, PENELOPE, Y Individual EXTENSOR CAPITAL N.A., LLC MEMBER 12/2007 > 75%
LCM/HPW TRUST Domestic Entity – MEMBER 01/2013 50-75%
WISEMAN, KENNETH, NELSON Individual LCM/HPW TRUST TRUST BENEFICARY 01/2013
CARLINO, ANITA, B Individual – CONTROLLER 03/2020 < 5%
WISEMAN, KENNETH, NELSON Individual – TRUSTEE 01/2023 50-75%

No. Employees, Historic

30150201920202021202220232024202526 on 6/18/201926 on 7/9/201926 on 7/24/201926 on 10/23/201926 on 10/31/201926 on 1/2/202026 on 1/6/202026 on 3/17/202023 on 3/27/202022 on 5/13/202021 on 6/8/202021 on 6/15/202021 on 8/12/202021 on 8/20/202021 on 8/26/202021 on 9/14/202021 on 9/15/202021 on 10/29/202021 on 11/17/202021 on 1/4/202121 on 1/20/202125 on 3/29/202125 on 3/29/202123 on 4/19/202123 on 6/3/202124 on 8/12/202124 on 9/15/202124 on 10/1/202124 on 1/4/202224 on 3/23/202224 on 3/23/202224 on 5/11/202224 on 6/17/202224 on 8/12/202224 on 10/5/202224 on 10/26/202224 on 11/2/202224 on 11/14/202224 on 11/29/202224 on 12/11/202224 on 1/24/202325 on 3/24/202325 on 4/6/202325 on 5/24/202325 on 6/2/202325 on 7/31/202325 on 8/8/202325 on 8/18/202325 on 10/2/202325 on 10/10/202325 on 11/27/202325 on 12/1/202325 on 2/5/202424 on 3/26/2024

RAUM, Historic

400M200M02019202020212022202320242025181848051 on 6/18/2019181848051 on 7/9/2019181848051 on 7/24/2019181848051 on 10/23/2019181848051 on 10/31/2019181848051 on 1/2/2020181848051 on 1/6/2020181848051 on 3/17/2020179650372 on 3/27/2020179650372 on 5/13/2020179650372 on 6/8/2020179650372 on 6/15/2020179650372 on 8/12/2020179650372 on 8/20/2020179650372 on 8/26/2020179650372 on 9/14/2020179650372 on 9/15/2020179650372 on 10/29/2020179650372 on 11/17/2020179650372 on 1/4/2021179650372 on 1/20/2021257343000 on 3/29/2021257343000 on 3/29/2021257343000 on 4/19/2021257343000 on 6/3/2021257343000 on 8/12/2021257343000 on 9/15/2021257343000 on 10/1/2021257343000 on 1/4/2022283400000 on 3/23/2022283400000 on 3/23/2022283400000 on 5/11/2022283400000 on 6/17/2022283400000 on 8/12/2022283400000 on 10/5/2022283400000 on 10/26/2022283400000 on 11/2/2022283400000 on 11/14/2022283400000 on 11/29/2022283400000 on 12/11/2022283400000 on 1/24/2023322400000 on 3/24/2023322400000 on 4/6/2023322400000 on 5/24/2023322400000 on 6/2/2023322400000 on 7/31/2023322400000 on 8/8/2023322400000 on 8/18/2023322400000 on 10/2/2023322400000 on 10/10/2023322400000 on 11/27/2023322400000 on 12/1/2023322400000 on 2/5/2024392299624 on 3/26/2024

No. Clients, Historic

70035002019202020212022202320242025642 on 6/18/2019642 on 7/9/2019642 on 7/24/2019642 on 10/23/2019642 on 10/31/2019642 on 1/2/2020642 on 1/6/2020642 on 3/17/2020498 on 3/27/2020498 on 5/13/2020498 on 6/8/2020498 on 6/15/2020498 on 8/12/2020498 on 8/20/2020498 on 8/26/2020498 on 9/14/2020498 on 9/15/2020498 on 10/29/2020498 on 11/17/2020498 on 1/4/2021498 on 1/20/2021525 on 3/29/2021525 on 3/29/2021525 on 4/19/2021525 on 6/3/2021525 on 8/12/2021525 on 9/15/2021525 on 10/1/2021525 on 1/4/2022634 on 3/23/2022634 on 3/23/2022634 on 5/11/2022634 on 6/17/2022634 on 8/12/2022634 on 10/5/2022634 on 10/26/2022634 on 11/2/2022634 on 11/14/2022634 on 11/29/2022634 on 12/11/2022634 on 1/24/2023689 on 3/24/2023689 on 4/6/2023689 on 5/24/2023689 on 6/2/2023689 on 7/31/2023689 on 8/8/2023689 on 8/18/2023689 on 10/2/2023689 on 10/10/2023689 on 11/27/2023689 on 12/1/2023689 on 2/5/2024680 on 3/26/2024