DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

CAPITAL INVESTMENT MANAGEMENT

CAPITAL INVESTMENT MANAGEMENT, INC., CRD 109924

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:fe03b4f4-eb62-7d9b-9666-d3ae77a4b803

Data as of Jun 28, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Mar 20, 2012 to Jun 28, 2012
4 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: $82.6MItem 5.F on the latest filing (2012-06-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $82.6M
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
Accounts: 676
SEC number: 801-61042
CRD: 109924
Filings on the tape: 4
First filed: Mar 20, 2012
Latest filed: Jun 28, 2012
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
PELLEY, CHRISTOPHER, BRIAN	PRESIDENT, CHIEF COMPLIANCE OFFICER	D	yes	01/2000	Mar 20, 2012	Jun 28, 2012
PELLEY, KATHLEEN, TERESA	SECRETARY/TREASURER	C	no	01/2000	Mar 20, 2012	Jun 28, 2012

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
2011	Mar 20, 2012	$82.6M	$82.6M	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
2011	$82.6M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← PELLEY, CHRISTOPHER, BRIANOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 20, 2012 to presentfactForm ADV

Owns (1)

← PELLEY, KATHLEEN, TERESAOwnerSECRETARY/TREASURER, ownership code C, individual
Mar 20, 2012 to presentfactForm ADV

Registered with (8)

← CHAD AARON WILLIAMSAdvisorregistration: previous registration
Mar 25, 2002 to Jun 25, 2015factForm ADV
← NATALIE MARGARET NEATONAdvisorregistration: previous registration
May 31, 2012 to Jun 25, 2015factForm ADV
← CHRISTOPHER BRIAN PELLEYAdvisorregistration: previous registration
Jan 1, 1999 to Jun 10, 2015factForm ADV
← MATTHEW THOMAS WORKMANAdvisorregistration: previous registration
Jul 26, 2011 to Jun 10, 2015factForm ADV
← ALI K YOUSAFAdvisorregistration: previous registration
Nov 10, 2006 to Feb 7, 2011factForm ADV
← CHRISTOPHER MARK DESHANOAdvisorregistration: previous registration
Nov 9, 2006 to Oct 21, 2008factForm ADV
← JOHN CHARLES PANTERAdvisorregistration: previous registration
Jul 22, 2002 to Sep 1, 2004factForm ADV
← MICHAEL MARK MCGREGORAdvisorregistration: previous registration
Jan 1, 1999 to Jun 24, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fe03b4f4-eb62-7d9b-9666-d3ae77a4b803
First observed: Mar 20, 2012
Last observed: Jun 28, 2012 173 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 MANAGEMENT

CAPITAL INVESTMENT MANAGEMENT, INC., CRD 109924

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:fe03b4f4-eb62-7d9b-9666-d3ae77a4b803

Data as of Jun 28, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:35 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PELLEY, CHRISTOPHER, BRIAN

PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

01/2000

Mar 20, 2012

Jun 28, 2012

PELLEY, KATHLEEN, TERESA

SECRETARY/TREASURER

01/2000

Mar 20, 2012

Jun 28, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 20, 2012

$82.6M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$82.6M

n/a