{ "crd_number": 158055, "slug": "capital-investment-advisors-llc-atlanta-ga-158055", "primary_business_name": "CAPITAL INVESTMENT ADVISORS, LLC", "legal_name": "CAPITAL INVESTMENT ADVISORS, LLC", "dbas": [], "city": "Atlanta", "state": "GA", "country": "United States", "cbsa_code": "12060", "metro": { "cbsa_code": "12060", "common_name": "Atlanta", "msa_name": "Atlanta-Sandy Springs-Roswell, GA", "path": "/advisors/ga/atlanta" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2011-07-07", "years_registered": 15, "period": "2026-10-01", "filing_date": "2026-08-06", "carried_forward": false, "raum_total": 8212613694.0, "raum_discretionary": 8152303229.0, "raum_non_discretionary": 60310465.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 107, "advisory_employees": 55, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 1809309166.0, "count": 3552 }, "pension_profit_sharing": { "raum": 17567301.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 6385737227.0, "count": 2462 } }, "compensation_types": [ "fixed", "other", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "other", "pension_consulting", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "AK", "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "PR", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "VI", "VT", "WA", "WI", "WV", "WY" ], "websites": [ "https://capital-fo.com", "https://facebook.com/CAPITALINVESTMENTADVISORS", "https://facebook.com/retiresoonerteam", "https://facebook.com/wesmoss365", "https://instagram.com/retiresoonerteam", "https://linkedin.com/company/capital-investment-advisors", "https://linkedin.com/in/wesmoss", "https://m.facebook.com/groups/retiresoonerteam", "https://retiresoonerteam.com", "https://threads.net/@retiresoonerteam", "https://tiktok.com/@retiresoonerpodcast", "https://twitter.com/WESMOSS365", "https://twitter.com/retiresoonertm", "https://wesmoss.com", "https://wesmossbooks.com", "https://yourwealth.com", "https://youtube.com/@RetireSoonerTeam", "https://youtube.com/CAPITALINVESTMENTADV", "https://youtube.com/c/WesMossMoneyMatters" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/158055", "city_as_filed": "ATLANTA", "url": "https://advisorcensus.com/firm/capital-investment-advisors-llc-atlanta-ga-158055", "display_name": "Capital Investment Advisors, LLC", "summary": "Capital Investment Advisors, LLC is an SEC-registered investment advisory firm in Atlanta, GA, registered since 2011, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 6, 2026.", "citation": "AdvisorCensus. Capital Investment Advisors, LLC (CRD 158055): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Other" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Pension consulting services", "Selection of other advisers (including private fund managers)", "Other" ], "quick_answers": [ { "q": "How is Capital Investment Advisors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Capital Investment Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); other." }, { "q": "Where is Capital Investment Advisors, LLC located?", "a": "Capital Investment Advisors, LLC's principal office is in Atlanta, GA, according to its Form ADV; the September 2026 filing also lists 5 other offices (Schedule D, Section 1.F)." }, { "q": "Is Capital Investment Advisors, LLC registered with the SEC or a state?", "a": "Capital Investment Advisors, LLC is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 158055." }, { "q": "How much does Capital Investment Advisors, LLC manage?", "a": "Capital Investment Advisors, LLC reports $8,212,613,694 in regulatory assets under management in its Form ADV filing dated August 6, 2026 (99% discretionary)." }, { "q": "How have Capital Investment Advisors, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Capital Investment Advisors, LLC: Regulatory assets under management: $3,227,446,139 in the October 2021 data and $8,212,613,694 in the October 2026 data, up 154%. Total employees: 41 in October 2021 and 107 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Capital Investment Advisors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (3,552); high net worth individuals (2,462)." }, { "q": "Which custodians does Capital Investment Advisors, LLC use?", "a": "Capital Investment Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Capital Investment Advisors, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/158055" }, { "q": "Does Capital Investment Advisors, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated August 6, 2026 says: \"We do not impose a minimum portfolio size or minimum annual fee. We have service options available for families and organizations of all sizes.\"" }, { "q": "What changed in Capital Investment Advisors, LLC's recent Form ADV filings?", "a": "In the May 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 3227446139.0, "total_employees": 41, "filing_date": "2021-05-26" }, { "period": "2022-10-01", "regulatory_assets_under_management": 4224196078.0, "total_employees": 48, "filing_date": "2022-08-19" }, { "period": "2023-10-01", "regulatory_assets_under_management": 4353423873.0, "total_employees": 64, "filing_date": "2023-09-07" }, { "period": "2024-10-01", "regulatory_assets_under_management": 5260660983.0, "total_employees": 80, "filing_date": "2024-08-19" }, { "period": "2025-10-01", "regulatory_assets_under_management": 6298397792.0, "total_employees": 99, "filing_date": "2025-03-27" }, { "period": "2026-10-01", "regulatory_assets_under_management": 8212613694.0, "total_employees": 107, "filing_date": "2026-08-06" } ], "recent_changes": [ { "period": "2026-05-01", "period_label": "May 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 46 to 55.", "Regulatory assets under management went from $6,298,397,792 to $8,212,613,694 (+30%)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated August 6, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": "None", "planning_fees": [], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "We do not impose a minimum portfolio size or minimum annual fee. We have service options available for families and organizations of all sizes." ] }, { "label": "Minimum annual fee", "statements": [ "Minimum annual fee: None" ], "quotes": [ "We do not impose a minimum portfolio size or minimum annual fee. We have service options available for families and organizations of all sizes." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 0.0, "minimum_annual_fee": 0.0, "planning": [] }, "quotes": [ "We do not impose a minimum portfolio size or minimum annual fee. We have service options available for families and organizations of all sizes.", "We do not impose a minimum portfolio size or minimum annual fee. We have service options available for families and organizations of all sizes." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "National Financial Services LLC", "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/capital-investment-advisors-llc-atlanta-ga-158055.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 3552, "fewer_than_5": false, "raum": 1809309166.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 2462, "fewer_than_5": false, "raum": 6385737227.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 17567301.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/158055", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }