# Douglas Capital Management, LLC

> Douglas Capital Management, LLC is a state-registered investment advisory firm, registered since 2007, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated May 5, 2026.

- CRD: 143585
- Filed as: DOUGLAS CAPITAL MANAGEMENT, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: May 5, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/143585
- AdvisorCensus page: https://advisorcensus.com/firm/douglas-capital-management-llc-143585

## Quick answers

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

**Is Douglas Capital Management, LLC registered with the SEC or a state?**
Douglas Capital Management, LLC is a state-registered investment advisory firm, registered since 2007. Status as filed: APPROVED. CRD 143585.

**How much does Douglas Capital Management, LLC manage?**
Douglas Capital Management, LLC reports $63,258,508 in regulatory assets under management in its Form ADV filing dated May 5, 2026 (100% discretionary).

**What types of clients does Douglas Capital Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (54); high net worth individuals (40); pooled investment vehicles (other than investment companies and business development companies) (1).

**Does Douglas Capital Management, LLC report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.H(1)(c) (regulator's civil action dismissed under a settlement). 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/143585

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $63,258,508
- Discretionary: $63,258,508
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 54 | $8,014,062 |
| High net worth individuals | 40 | $13,746,788 |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $41,491,413 |
| Charitable organizations | 1 | $6,245 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Publication of periodicals or newsletters

### Firm details
- Registered since: 2007 (19 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, IL
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.H(1)(c): Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/143585

### Websites listed on Form ADV (Item 1.I)
- dcm-llc.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Douglas Capital Management, LLC (CRD 143585): Form ADV filing data as of October 2026.