# Capital Management LLC

> Capital Management LLC is an SEC-registered investment advisory firm in Greensboro, NC, registered since 1998, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 16, 2026.

- CRD: 109416
- Filed as: CAPITAL MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Greensboro, NC
- Filing period: October 2026
- Form ADV filing dated: March 16, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/109416
- AdvisorCensus page: https://advisorcensus.com/firm/capital-management-llc-greensboro-nc-109416

## Quick answers

**How is Capital Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Capital Management LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Capital Management LLC located?**
Capital Management LLC's principal office is in Greensboro, NC, according to its Form ADV.

**Is Capital Management LLC registered with the SEC or a state?**
Capital Management LLC is an SEC-registered investment advisory firm, registered since 1998. Status as filed: Approved. CRD 109416.

**How much does Capital Management LLC manage?**
Capital Management LLC reports $382,964,479 in regulatory assets under management in its Form ADV filing dated March 16, 2026 (91% discretionary).

**How have Capital Management LLC's assets and staff changed since 2021?**
In the Form ADV data for Capital Management LLC: Regulatory assets under management: $276,406,939 in the October 2021 data and $382,964,479 in the October 2026 data, up 39%. Total employees: 4 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Capital Management LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (148); high net worth individuals (84); pension and profit sharing plans (but not the plan participants or government pension plans) (2).

**Which custodians does Capital Management LLC use?**
Capital Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Ascensus Trust Company, Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets.

**Does Capital Management LLC report any disciplinary disclosures?**
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/109416

**What changed in Capital Management LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $341,919,260 to $382,964,479 (+12%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Ascensus Trust Company
- Charles Schwab & Co., Inc.
- Fidelity Brokerage Services LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $382,964,479
- Discretionary: $348,915,450
- Non-discretionary: $34,049,029

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 148 | $37,932,277 |
| High net worth individuals | 84 | $310,370,754 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2 | $32,524,772 |
| Charitable organizations | 2 | $1,752,663 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 2 | $384,013 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 1998 (28 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NC, SC, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [capitalmgmtinc.com](https://capitalmgmtinc.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $276,406,939 | 4 | August 27, 2021 |
| October 2022 | $312,372,723 | 3 | March 26, 2022 |
| October 2023 | $285,585,841 | 4 | June 1, 2023 |
| October 2024 | $324,892,294 | 3 | August 1, 2024 |
| October 2025 | $341,919,260 | 3 | March 20, 2025 |
| October 2026 | $382,964,479 | 3 | March 16, 2026 |

Regulatory assets under management: $276,406,939 in the October 2021 data and $382,964,479 in the October 2026 data, up 39%.
Total employees: 4 in October 2021 and 3 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $341,919,260 to $382,964,479 (+12%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Capital Management LLC (CRD 109416): Form ADV filing data as of October 2026.