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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

CAPITAL INVESTMENT COUNSEL INC

CRD 106966

DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ced1436a-a037-ff8f-46d0-de7496a1cbbf

Data as of Apr 7, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 0
On other graphs: 0
Observed: Apr 3, 2012 to Apr 7, 2015
17 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $334MItem 5.F on the latest filing (2015-04-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $334M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 1
Accounts: 812
SEC number: 801-36824
CRD: 106966
Filings on the tape: 17
First filed: Apr 3, 2012
Latest filed: Apr 7, 2015
Organised: Corporation, Colorado

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BANCO BILBAO VIZCAYA ARGENTARIA, S.A.	OWNER OF BBVA USA BANCSHARES, INC. (TX)	E	yes	09/2007	Apr 3, 2012	Apr 7, 2015
BBVA COMPASS BANCSHARES, INC. (TX) (FORMERLY COMPASS BANCSHARES, INC., FORMERLY BLUE TRANSACTION CORPORATION)	OWNER OF COMPASS BANK	E	yes	05/2008	Jun 6, 2013	Apr 7, 2015
COMPASS BANK	Owner	E	yes	07/2007	Apr 3, 2012	Apr 7, 2015
COSIGLIERE, GIAMPAOLO	Director	Na	yes	01/2015	Jan 29, 2015	Apr 7, 2015
HOLMES, MARIA, M.	CEO & PRESIDENT	Na	yes	03/2015	Jan 29, 2015	Apr 7, 2015
MCDOWELL, BRIAN, MICHAEL	DIRECTOR OF RESEARCH AND TRADING	Na	yes	03/2015	Jul 13, 2012	Apr 7, 2015
MCNEACE, KEENAN, DARNELL	CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER	Na	yes	06/2014	Apr 3, 2012	Apr 7, 2015
RAMOS, MARIO, ANDRES	Secretary	Na	yes	03/2015	Apr 3, 2012	Apr 7, 2015
REIMANN, PETE, J.	DIRECTOR/TREASURER	Na	yes	07/2012	Apr 3, 2012	Apr 7, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BBVA WEALTH SOLUTIONS INC.	n/a	Former SEC adviser	$588M	N	yes	n/a
BANCO BILBAO VIZCAYA ARGENTARIA, S.A.	n/a	n/a	n/a	Y	no	n/a
BBVA COMPASS INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
BBVA SECURITIES INC.	n/a	n/a	n/a	N	yes	n/a
COMPASS BANK	n/a	n/a	n/a	Y	yes	Al

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 31, 2015	$334M	$334M	2	1	n/a	n/a	n/a
2013	Mar 24, 2014	$2.1B	$2.1B	30	15	n/a	n/a	n/a
2012	Apr 1, 2013	$1.9B	$1.9B	31	16	n/a	n/a	n/a
2011	Apr 3, 2012	$1.9B	$1.9B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$334M	$2.1B	-84.3%	$1.9B	-43.7%	2	30	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
UNITED CAPITAL FINANCIAL ADVISORS	3	Jan 23, 2015	Jan 23, 2015	DENVER, CO	Firm absorbed	Other	50.0%
UNITED CAPITAL FINANCIAL ADVISORS	2	Jan 23, 2015	Jan 23, 2015	HOUSTON, TX	Team lift out	Other	33.3%

Relationships

Affiliated with (1)

→ PNC MANAGED ACCOUNT SOLUTIONS, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (9)

← HOLMES, MARIA, M.OwnerCEO & PRESIDENT, ownership code NA, individual
Jan 29, 2015 to presentfactForm ADV
← MCNEACE, KEENAN, DARNELLOwnerCHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 3, 2012 to presentfactForm ADV
← MCDOWELL, BRIAN, MICHAELOwnerDIRECTOR OF RESEARCH AND TRADING, ownership code NA, individual
Jul 13, 2012 to presentfactForm ADV
← RAMOS, MARIO, ANDRESOwnerSECRETARY, ownership code NA, individual
Apr 3, 2012 to presentfactForm ADV
← REIMANN, PETE, J.OwnerDIRECTOR/TREASURER, ownership code NA, individual
Apr 3, 2012 to presentfactForm ADV
← COSIGLIERE, GIAMPAOLOOwnerDIRECTOR, ownership code NA, individual
Jan 29, 2015 to presentfactForm ADV
← BANCO BILBAO VIZCAYA ARGENTARIA, S.A.OwnerOWNER OF BBVA USA BANCSHARES, INC. (TX), ownership code E, foreign entity
Apr 3, 2012 to presentfactForm ADV
← BBVA COMPASS BANCSHARES, INC. (TX) (FORMERLY COMPASS BANCSHARES, INC., FORMERLY BLUE TRANSACTION CORPORATION)OwnerOWNER OF COMPASS BANK, ownership code E, domestic entity
Jun 6, 2013 to presentfactForm ADV
← COMPASS BANKOwnerOWNER, ownership code E, domestic entity
Apr 3, 2012 to presentfactForm ADV

Registered with (15)

← BRIAN MICHAEL MCDOWELLAdvisorregistration: previous registration
Apr 19, 2004 to Oct 6, 2015factForm ADV
← CHRISTIAN KENT JOHNSONAdvisorregistration: previous registration
Jan 1, 1999 to Jan 23, 2015factForm ADV
← ELIZABETH SCHWINGHAMMERAdvisorregistration: previous registration
Oct 10, 2008 to Jan 23, 2015factForm ADV
← STEPHEN JOHN DREILINGAdvisorregistration: previous registration
Sep 29, 2003 to Jan 23, 2015factForm ADV
← JOEL JOHNSONAdvisorregistration: previous registration
Oct 15, 2012 to Jan 23, 2015factForm ADV
← JASON THOMAS ROSENERAdvisorregistration: previous registration
Mar 26, 2004 to Jan 23, 2015factForm ADV
← BRIAN LAWRENCE COUGHLANAdvisorregistration: previous registration
Apr 29, 2009 to Nov 21, 2014factForm ADV
← ANDREW RICHARD REINHARDTAdvisorregistration: previous registration
Nov 16, 2007 to Nov 21, 2014factForm ADV
← CHRISTOPHER FRANK PALERMOAdvisorregistration: previous registration
Jan 27, 2012 to Nov 21, 2014factForm ADV
← LANDEN LEON LUNSWAYAdvisorregistration: previous registration
Apr 18, 2011 to Nov 21, 2014factForm ADV
← ELIZABETH MEZEI RAABEAdvisorregistration: previous registration
Apr 13, 2004 to Sep 29, 2014factForm ADV
← SHELLY LYNNE SCHELLAdvisorregistration: previous registration
Aug 16, 2010 to May 13, 2014factForm ADV
← MATTHEW ROBERT BLAKEAdvisorregistration: previous registration
Oct 19, 2005 to Oct 12, 2012factForm ADV
← CODY RENE AMISAdvisorregistration: previous registration
Jan 8, 2010 to Jan 4, 2011factForm ADV
← Timothy Richard McDonaldAdvisorregistration: previous registration
Jun 3, 2004 to Dec 2, 2009factForm ADV

Moved with (1)

→ UNITED CAPITAL FINANCIAL ADVISORSRegistered adviser3 advisors, firm absorbed, same day
Jan 23, 2015 to Jan 23, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ced1436a-a037-ff8f-46d0-de7496a1cbbf
First observed: Apr 3, 2012
Last observed: Apr 7, 2015 139 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CAPITAL INVESTMENT COUNSEL INC

CRD 106966

DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ced1436a-a037-ff8f-46d0-de7496a1cbbf

Data as of Apr 7, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:47 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BANCO BILBAO VIZCAYA ARGENTARIA, S.A.

OWNER OF BBVA USA BANCSHARES, INC. (TX)

yes

09/2007

Apr 3, 2012

Apr 7, 2015

BBVA COMPASS BANCSHARES, INC. (TX) (FORMERLY COMPASS BANCSHARES, INC., FORMERLY BLUE TRANSACTION CORPORATION)

OWNER OF COMPASS BANK

yes

05/2008

Jun 6, 2013

Apr 7, 2015

COMPASS BANK

Owner

yes

07/2007

Apr 3, 2012

Apr 7, 2015

COSIGLIERE, GIAMPAOLO

Director

yes

01/2015

Jan 29, 2015

Apr 7, 2015

HOLMES, MARIA, M.

CEO & PRESIDENT

yes

03/2015

Jan 29, 2015

Apr 7, 2015

MCDOWELL, BRIAN, MICHAEL

DIRECTOR OF RESEARCH AND TRADING

yes

03/2015

Jul 13, 2012

Apr 7, 2015

MCNEACE, KEENAN, DARNELL

CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER

yes

06/2014

Apr 3, 2012

Apr 7, 2015

RAMOS, MARIO, ANDRES

Secretary

yes

03/2015

Apr 3, 2012

Apr 7, 2015

REIMANN, PETE, J.

DIRECTOR/TREASURER

yes

07/2012

Apr 3, 2012

Apr 7, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BBVA WEALTH SOLUTIONS INC.

n/a

Former SEC adviser

$588M

yes

n/a

BANCO BILBAO VIZCAYA ARGENTARIA, S.A.

n/a

BBVA COMPASS INSURANCE AGENCY, INC.

n/a

yes

n/a

BBVA SECURITIES INC.

n/a

yes

n/a

COMPASS BANK

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 31, 2015

$334M

n/a

2013

Mar 24, 2014

$2.1B

n/a

2012

Apr 1, 2013

$1.9B

n/a

2011

Apr 3, 2012

$1.9B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$334M

$2.1B

-84.3%

$1.9B

-43.7%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

UNITED CAPITAL FINANCIAL ADVISORS

Jan 23, 2015

DENVER, CO

Firm absorbed

Other

50.0%

UNITED CAPITAL FINANCIAL ADVISORS

Jan 23, 2015

HOUSTON, TX

Team lift out

Other

33.3%