{
  "crd_number": 113917,
  "slug": "capital-investment-management-inc-lee-s-summit-mo-113917",
  "primary_business_name": "CAPITAL INVESTMENT MANAGEMENT, INC",
  "legal_name": "CAPITAL INVESTMENT MANAGEMENT, INC",
  "dbas": [],
  "city": "Lee'S Summit",
  "state": "MO",
  "country": "United States",
  "cbsa_code": "28140",
  "metro": {
    "cbsa_code": "28140",
    "common_name": "Kansas City",
    "msa_name": "Kansas City, MO-KS",
    "path": "/advisors/mo/kansas-city"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2012-08-13",
  "years_registered": 14,
  "period": "2026-10-01",
  "filing_date": "2026-04-16",
  "carried_forward": false,
  "raum_total": 558949315.0,
  "raum_discretionary": 558949315.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 10,
  "advisory_employees": 5,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 278505898.0,
      "count": 932
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 280443417.0,
      "count": 140
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AR",
    "AZ",
    "CO",
    "FL",
    "IL",
    "KS",
    "LA",
    "MO",
    "OK",
    "TX"
  ],
  "websites": [
    "https://cimretirementpros.com",
    "https://facebook.com/people/Capital-Investment-Management/61586127907889",
    "https://linkedin.com/company/cimadvisors/posts?feedView=all"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/113917",
  "city_as_filed": "LEE'S SUMMIT",
  "url": "https://advisorcensus.com/firm/capital-investment-management-inc-lee-s-summit-mo-113917",
  "display_name": "Capital Investment Management, Inc",
  "summary": "Capital Investment Management, Inc is an SEC-registered investment advisory firm in Lee'S Summit, MO, registered since 2012, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated April 16, 2026.",
  "citation": "AdvisorCensus. Capital Investment Management, Inc (CRD 113917): 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",
    "Selection of other advisers (including private fund managers)",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Capital Investment Management, Inc compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Capital Investment Management, Inc reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); other. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Capital Investment Management, Inc located?",
      "a": "Capital Investment Management, Inc's principal office is in Lee'S Summit, MO, according to its Form ADV."
    },
    {
      "q": "Is Capital Investment Management, Inc registered with the SEC or a state?",
      "a": "Capital Investment Management, Inc is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 113917."
    },
    {
      "q": "How much does Capital Investment Management, Inc manage?",
      "a": "Capital Investment Management, Inc reports $558,949,315 in regulatory assets under management in its Form ADV filing dated April 16, 2026 (100% discretionary)."
    },
    {
      "q": "How have Capital Investment Management, Inc's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Capital Investment Management, Inc: Regulatory assets under management: $336,545,500 in the October 2021 data and $558,949,315 in the October 2026 data, up 66%. Total employees: 8 in October 2021 and 10 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 Management, Inc serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (932); high net worth individuals (140)."
    },
    {
      "q": "Which custodians does Capital Investment Management, Inc use?",
      "a": "Capital Investment Management, Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Capital Investment Management, Inc 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/113917"
    },
    {
      "q": "What changed in Capital Investment Management, Inc's recent Form ADV filings?",
      "a": "In the May 2026 filing data: Employees performing advisory functions went from 4 to 5."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 336545500.0,
      "total_employees": 8,
      "filing_date": "2021-05-05"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 393643205.0,
      "total_employees": 8,
      "filing_date": "2022-03-28"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 405018799.0,
      "total_employees": 8,
      "filing_date": "2023-03-18"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 425863045.0,
      "total_employees": 8,
      "filing_date": "2024-03-27"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 477059838.0,
      "total_employees": 9,
      "filing_date": "2025-05-09"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 558949315.0,
      "total_employees": 10,
      "filing_date": "2026-04-16"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Employees performing advisory functions went from 4 to 5."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $477,059,838 to $558,949,315 (+17%).",
        "Registered or notice-filed in CO, IL, OK."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "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-management-inc-lee-s-summit-mo-113917.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 932,
      "fewer_than_5": false,
      "raum": 278505898.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 140,
      "fewer_than_5": false,
      "raum": 280443417.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "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/113917",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}