{
  "crd_number": 134921,
  "slug": "capital-markets-iq-llc-wilmington-de-134921",
  "primary_business_name": "CAPITAL MARKETS IQ, LLC",
  "legal_name": "CAPITAL MARKETS IQ, LLC",
  "dbas": [
    "0X PRIVATE WEALTH",
    "BRIGHTSMITH ADVISORS",
    "FIRST SECURITY INVESTMENTS ADVISORS",
    "KING HARBOR WEALTH MANAGEMENT",
    "NOBLESTONE CAPITAL ADVISORS",
    "PENG FINANCIAL GROUP",
    "SEAGATE GLOBAL WEALTH MANAGEMENT",
    "THE BURG CAPITAL PARNTERS",
    "THE SKYHAWK ETF STRATEGY",
    "VERACITY FINANCIAL SERVICES"
  ],
  "city": "Wilmington",
  "state": "DE",
  "country": "United States",
  "cbsa_code": "37980",
  "metro": {
    "cbsa_code": "37980",
    "common_name": "Philadelphia",
    "msa_name": "Philadelphia-Camden-Wilmington, PA-NJ-DE-MD",
    "path": "/advisors/pa/philadelphia"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2009-04-03",
  "years_registered": 17,
  "period": "2026-10-01",
  "filing_date": "2026-07-28",
  "carried_forward": false,
  "raum_total": 571446571.0,
  "raum_discretionary": 455561227.0,
  "raum_non_discretionary": 115885344.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 23,
  "advisory_employees": 20,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 1553390.0,
      "count": 7
    },
    "individuals": {
      "raum": 141541069.0,
      "count": 607
    },
    "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": 83464010.0,
      "count": 101
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 223738393.0,
      "count": 91
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 121149709.0,
      "count": 78
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "DE",
    "FL",
    "GA",
    "IA",
    "IL",
    "IN",
    "KY",
    "LA",
    "MA",
    "MI",
    "MN",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NY",
    "OH",
    "OR",
    "PA",
    "SC",
    "TN",
    "TX",
    "UT",
    "VA",
    "WA"
  ],
  "websites": [
    "https://0xprivatewealth.com",
    "https://brightsmithadvisors.com",
    "https://burgcap.com",
    "https://capitalmarketsiq.com",
    "https://facebook.com/brightsmithadvisors",
    "https://facebook.com/capitalmarketsiq",
    "https://facebook.com/kingharborwealth",
    "https://facebook.com/people/Seagate-Global-Wealth-Management/100063652792043",
    "https://facebook.com/zach.wooten.5",
    "https://instagram.com/adamjorgy",
    "https://linkedin.com/company/brightsmith-advisors",
    "https://linkedin.com/company/king-harbor-wealth",
    "https://linkedin.com/company/noblestone-capital",
    "https://linkedin.com/company/seagate-global-wealth-management",
    "https://linkedin.com/company/veracity-financial-services-inc-",
    "https://linkedin.com/in/capital-markets-iq-llc-b63b10b2",
    "https://linkedin.com/in/daniel-millman-cfa-83559bb2",
    "https://linkedin.com/in/david-mirkin-04421bb",
    "https://linkedin.com/in/ian-johnson-69756b49",
    "https://linkedin.com/in/jasonbrightbrightsmith",
    "https://linkedin.com/in/ken-w-74ba88b",
    "https://linkedin.com/in/michael-mike-dickerson-b441441",
    "https://linkedin.com/in/michaelhsimms",
    "https://linkedin.com/in/robert-schreiber-3455a98",
    "https://linkedin.com/in/t-matthew-chase-38574139",
    "https://linkedin.com/in/thomas-marshburn-28b66b188",
    "https://linkedin.com/in/zachwooten",
    "https://noblestonecapital.com",
    "https://seagateglobalwm.com",
    "https://twitter.com/AdamVFS",
    "https://twitter.com/CMIQLegal",
    "https://twitter.com/KHarborWealth",
    "https://twitter.com/VeracityFinServ",
    "https://veracityfinancialservices.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/134921",
  "disclosure_items": [
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "WILMINGTON",
  "url": "https://advisorcensus.com/firm/capital-markets-iq-llc-wilmington-de-134921",
  "display_name": "Capital Markets IQ, LLC",
  "summary": "Capital Markets IQ, LLC is an SEC-registered investment advisory firm in Wilmington, DE, registered since 2009, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated July 28, 2026.",
  "citation": "AdvisorCensus. Capital Markets IQ, LLC (CRD 134921): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Capital Markets IQ, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Capital Markets IQ, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); performance-based fees."
    },
    {
      "q": "Where is Capital Markets IQ, LLC located?",
      "a": "Capital Markets IQ, LLC's principal office is in Wilmington, DE, according to its Form ADV; the August 2026 filing also lists 6 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Capital Markets IQ, LLC registered with the SEC or a state?",
      "a": "Capital Markets IQ, LLC is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 134921."
    },
    {
      "q": "How much does Capital Markets IQ, LLC manage?",
      "a": "Capital Markets IQ, LLC reports $571,446,571 in regulatory assets under management in its Form ADV filing dated July 28, 2026 (80% discretionary)."
    },
    {
      "q": "How have Capital Markets IQ, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Capital Markets IQ, LLC: Regulatory assets under management: $257,343,000 in the October 2021 data and $571,446,571 in the October 2026 data, up 122%. Total employees: 24 in October 2021 and 23 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Capital Markets IQ, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (607); pension and profit sharing plans (but not the plan participants or government pension plans) (101); high net worth individuals (91)."
    },
    {
      "q": "Which custodians does Capital Markets IQ, LLC use?",
      "a": "Capital Markets IQ, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and SEI Investments Distribution Co. as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Capital Markets IQ, LLC report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation) and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/134921"
    },
    {
      "q": "Does Capital Markets IQ, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 25, 2026 says: \"The minimum relationship size of a retail client is $ 100,000, unless otherwise agreed by management and the respective custodian.\""
    },
    {
      "q": "What changed in Capital Markets IQ, LLC's recent Form ADV filings?",
      "a": "In the August 2026 filing data: Added an office in Gainesville, GA. No longer lists an office in Buford, GA."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 257343000.0,
      "total_employees": 24,
      "filing_date": "2021-10-01"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 283400000.0,
      "total_employees": 24,
      "filing_date": "2022-08-12"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 322400000.0,
      "total_employees": 25,
      "filing_date": "2023-10-02"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 392299624.0,
      "total_employees": 24,
      "filing_date": "2024-08-16"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 450873705.0,
      "total_employees": 26,
      "filing_date": "2025-07-22"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 571446571.0,
      "total_employees": 23,
      "filing_date": "2026-07-28"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Added an office in Gainesville, GA.",
        "No longer lists an office in Buford, GA."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Added the business name The Burg Capital Parnters.",
        "Employees performing advisory functions went from 19 to 20.",
        "Regulatory assets under management went from $450,873,705 to $571,446,571 (+27%)."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "No longer lists the business name Kuzma Financial Services."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer lists the business name Veracity Advisors."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 25, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$100,000",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $100,000"
        ],
        "quotes": [
          "The minimum relationship size of a retail client is $ 100,000, unless otherwise agreed by management and the respective custodian."
        ]
      }
    ],
    "quotes": [
      "The minimum relationship size of a retail client is $ 100,000, unless otherwise agreed by management and the respective custodian."
    ],
    "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": "SEI Investments Distribution Co.",
      "name_as_filed": "SEI INVESTMENTS DISTRIBUTION CO.",
      "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-markets-iq-llc-wilmington-de-134921.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 607,
      "fewer_than_5": false,
      "raum": 141541069.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 91,
      "fewer_than_5": false,
      "raum": 223738393.0
    },
    {
      "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": 101,
      "fewer_than_5": false,
      "raum": 83464010.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 7,
      "fewer_than_5": false,
      "raum": 1553390.0
    },
    {
      "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": 78,
      "fewer_than_5": false,
      "raum": 121149709.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "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/134921",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}