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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

MATTHEW DAVID HICKEY

Advisor at CAPITAL ASSET MANAGEMENT, LLC

DENVER, CO

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Search this name across graphsid dfx:ria:623973a4-04e0-59f7-54c3-d34fdba19b76

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 9, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAPITAL ASSET MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Jul 1, 1988
First registration: Apr 9, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 1538384

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAPITAL ASSET MANAGEMENT, LLC	Independent wealth	Aug 17, 2016	n/a	yes	DENVER, CO	Current employment
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Dec 12, 2019	no	DENVER, CO\|COLORADO SPRINGS, CO\|Denver, CO	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	May 14, 2008	Jul 2, 2012	no	COLORADO SPRINGS, CO\|LOVELAND, CO\|DENVER, CO\|BOULDER, CO\|SAN DIEGO, CA\|BOULDER, CO\|BATON ROUGE, LA	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Apr 9, 1999	May 15, 2008	no	DENVER, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIRST ALLIED ADVISORY SERVICES, INC.	CAPITAL ASSET MANAGEMENT, LLC	Dec 12, 2019	Aug 17, 2016	-1,212	Firm change after gap	Ibd to RIA
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jul 2, 2012	0	Bulk transfer	Other
CETERA ADVISORS LLC	FIRST ALLIED SECURITIES, INC.	May 15, 2008	May 14, 2008	-1	Firm change	Other

Relationships

Registered with (4)

→ CAPITAL ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Aug 17, 2016 to presentfactForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Dec 12, 2019factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
May 14, 2008 to Jul 2, 2012factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Apr 9, 1999 to May 15, 2008factForm ADV

Dated events

No dated event names this entity yet.