AdvisorCensus / Financial advisors / North Carolina / Raleigh / Collegiate Capital Management, Inc.
Collegiate Capital Management, Inc. is an SEC-registered investment advisory firm in Raleigh, NC, registered since 2005, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 12, 2026.
Quick answers
From the filingHow is Collegiate Capital Management, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Collegiate Capital Management, Inc. reports these compensation arrangements: a percentage of assets under its management.
Where is Collegiate Capital Management, Inc. located?
Collegiate Capital Management, Inc.'s principal office is in Raleigh, NC, according to its Form ADV.
Is Collegiate Capital Management, Inc. registered with the SEC or a state?
Collegiate Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 118205.
How much does Collegiate Capital Management, Inc. manage?
Collegiate Capital Management, Inc. reports $652,988,757 in regulatory assets under management in its Form ADV filing dated March 12, 2026 (93% discretionary).
How have Collegiate Capital Management, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Collegiate Capital Management, Inc.: Regulatory assets under management: $439,233,991 in the October 2021 data and $652,988,757 in the October 2026 data, up 49%. Total employees: 9 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Collegiate Capital Management, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (234); high net worth individuals (204); corporations or other businesses not listed above (8).
Which custodians does Collegiate Capital Management, Inc. use?
Collegiate Capital Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and TIAA-CREF Individual & Institutional Services, LLC as custodians holding 10% or more of its separately managed account assets.
Does Collegiate Capital Management, Inc. 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/118205
Does Collegiate Capital Management, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated March 12, 2026 says: "The Firm does not require a minimum portfolio value for our clients."
What changed in Collegiate Capital Management, Inc.'s recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $582,341,286 to $652,988,757 (+12%). Registered or notice-filed in FL.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Account minimum: None
The brochure's wording
The Firm does not require a minimum portfolio value for our clients.
As stated in the firm's Form ADV Part 2A brochure dated March 12, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$652,988,757 as of October 2026, filing dated March 12, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2005 (21 years)
- Employees
- Total: 8. Performing investment advisory functions: 4.
- Wrap fee program participation
- Yes.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
13 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $652,988,757 | 8 | March 12, 2026 |
| October 2025 | $582,341,286 | 8 | March 25, 2025 |
| October 2024 | $498,608,010 | 8 | March 21, 2024 |
| October 2023 | $428,104,570 | 8 | September 15, 2023 |
| October 2022 | $499,078,220 | 9 | August 9, 2022 |
| October 2021 | $439,233,991 | 9 | March 25, 2021 |
Regulatory assets under management: $439,233,991 in the October 2021 data and $652,988,757 in the October 2026 data, up 49%.
Total employees: 9 in October 2021 and 8 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $582,341,286 to $652,988,757 (+12%).
- Registered or notice-filed in FL.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Collegiate Capital Management, Inc. (CRD 118205): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/collegiate-capital-management-inc-raleigh-nc-118205