CAPITAL INVESTMENT MANAGEMENT, INC
Adviser information for CAPITAL INVESTMENT MANAGEMENT, INC 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Missouri, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,005 | $425.9M |
| Non-Discretionary | 0 | $0 |
| Total | 1,005 | $425.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 912 | $247.1M |
| HNW Individuals | 92 | $177.0M |
| 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 | <5 | $1.7M |
| 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 | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed feesSOLICITOR/REFERRAL FEES |
| Other Business Activities | Insurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 397.9M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CAMBRIDGE WEALTHPORT | CAMBRIDGE WEALTHPORT |
Identifiers
| SEC RIA File Number | 801-76972 |
|---|---|
| SEC ERA File Number | 801-76972 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 113917 |
| Legal Entity Identifier | None |
Principal Office
608 S.W. 3RD ST.LEE'S SUMMIT
MO
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 816-246-1212, Fax: 816-246-9959
Websites
Chief Compliance Officer
TROY SCHUSTER
PRESIDENT, CCO
608 S.W. 3RD ST.
LEE'S SUMMIT
MO
United States
Tel:
816-246-1212
Fax:
816-246-9959
T***@**************M
(Full email address available in API data)
Industry Affiliates
| CAPITAL TAX AND CONSULTING, LLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GARRISON, DAVID, MAX | Individual | – | SENIOR VICE PRESIDENT | 04/1998 | 50-75% |
| SCHUSTER, TROY, ROLAND | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 02/2005 | 25-50% |
| SHULL, MATTHEW, TYLER | Individual | – | SECRETARY | 01/2021 | 10-25% |