{ "crd_number": 298931, "slug": "fqi-capital-management-llc-298931", "primary_business_name": "FQI CAPITAL MANAGEMENT LLC", "legal_name": "FQI CAPITAL MANAGEMENT LLC", "dbas": [], "city": null, "state": null, "country": null, "cbsa_code": null, "metro": null, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2018-12-04", "years_registered": 7, "period": "2026-10-01", "filing_date": "2026-09-03", "carried_forward": false, "raum_total": 14317453.0, "raum_discretionary": 14317453.0, "raum_non_discretionary": 0.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 2, "advisory_employees": 2, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 2516202.0, "count": 42 }, "high_net_worth_individuals": { "raum": 10794058.0, "count": 34 }, "corporations_other_businesses": { "raum": 1007193.0, "count": 2, "fewer_than_5": true } }, "compensation_types": [ "fixed", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "other", "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 4, "states_registered": [ "TX" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/298931", "listing_state": "TX", "disclosure_items": [ { "item": "11.D(1)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.G", "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?" } ], "city_as_filed": null, "url": "https://advisorcensus.com/firm/fqi-capital-management-llc-298931", "display_name": "FQI Capital Management LLC", "summary": "FQI Capital Management LLC is a state-registered investment advisory firm, registered since 2018, reporting under $25 million in regulatory assets under management in its Form ADV filing dated September 3, 2026.", "citation": "AdvisorCensus. FQI Capital Management LLC (CRD 298931): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Other" ], "quick_answers": [ { "q": "How is FQI Capital Management LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), FQI Capital Management LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees." }, { "q": "Is FQI Capital Management LLC registered with the SEC or a state?", "a": "FQI Capital Management LLC is a state-registered investment advisory firm, registered since 2018. Status as filed: APPROVED. CRD 298931." }, { "q": "How much does FQI Capital Management LLC manage?", "a": "FQI Capital Management LLC reports $14,317,453 in regulatory assets under management in its Form ADV filing dated September 3, 2026 (100% discretionary)." }, { "q": "What types of clients does FQI Capital Management LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (42); high net worth individuals (34); corporations or other businesses not listed above (2)." }, { "q": "Does FQI Capital Management LLC report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.G (pending regulatory proceeding). 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/298931" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/fqi-capital-management-llc-298931.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 42, "fewer_than_5": false, "raum": 2516202.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 34, "fewer_than_5": false, "raum": 10794058.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 2, "fewer_than_5": true, "raum": 1007193.0 } ], "disclosure_line": "Reports 4 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/298931", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }