DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Capital Management LLC
Latest filing Mar 16, 2026
First filing on the tape Mar 28, 2012 · 32 filings
SEC status approved since Jul 24, 1998
RAUM
$383M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
91%
$348M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$383M as of Mar 16, 2026
Mar 28, 2012$137M then
HNW client RAUM$310M as of Mar 16, 2026
Mar 31, 2018$157M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Mar 28, 20120 then
Employees (5.A)3 as of Mar 16, 2026
Mar 15, 20133 then
Private funds: no history
RAUM +12% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $742,179derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 9.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $169M, 104 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$310M81%
- Individuals$37.9M9.9%
- Pension and profit-sharing plans$32.5M8.5%
- Charitable organizations$1.8M0.5%
- Insurance companies$384,0130.1%
- Individual clients
- 148reported
- HNW clients
- 84reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 516reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $169M for 104 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Peele GrayCertified Financial Planner | Greensboro, Nc | May 4, 2015 | 46 y | 0 |
| Charles Thomas Reid | Greensboro, Nc | Jun 2, 2015 | 29 y | 1 |
| Joseph Christian Williams | Greensboro, Nc | Jun 15, 2023 | 33 y | 5 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Joseph Christian Williams from Keel Point, LLCJun 15, 2023 · RIA to RIA
- Charles Thomas Reid from Charles Schwab & Co., Inc.Jun 2, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Peele David Gray · Managing Partner, Chief Compliance Officercontrolsince 03/2009 · owns 75% or more
- Christian Joseph Williams · Minority Shareholdersince 05/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greensboro, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 514 to 516Mar 20, 2025 to Mar 16, 2026
- HNW clients · 147 to 84Mar 20, 2025 to Mar 16, 2026
- Individual clients · 78 to 148Mar 20, 2025 to Mar 16, 2026
- Assets in custody · $180M to $169MMar 20, 2025 to Mar 16, 2026
- Discretionary RAUM · $313M to $349MMar 20, 2025 to Mar 16, 2026
- HNW RAUM · $271M to $310MMar 20, 2025 to Mar 16, 2026
- Individual RAUM · $41.3M to $37.9MMar 20, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $28.6M to $34.0MMar 20, 2025 to Mar 16, 2026
- Pension RAUM · $27.3M to $32.5MMar 20, 2025 to Mar 16, 2026
- RAUM · $342M to $383MMar 20, 2025 to Mar 16, 2026
- Accounts · 503 to 514Aug 1, 2024 to Mar 20, 2025
- Charity clients · 0 to 2Aug 1, 2024 to Mar 20, 2025
- HNW clients · 84 to 147Aug 1, 2024 to Mar 20, 2025
- Individual clients · 131 to 78Aug 1, 2024 to Mar 20, 2025
- Assets in custody · $163M to $180MAug 1, 2024 to Mar 20, 2025
- Financial planning clients · 1-10 to 0Aug 1, 2024 to Mar 20, 2025
- Discretionary RAUM · $291M to $313MAug 1, 2024 to Mar 20, 2025
- HNW RAUM · $260M to $271MAug 1, 2024 to Mar 20, 2025
- Individual RAUM · $41.0M to $41.3MAug 1, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $34.2M to $28.6MAug 1, 2024 to Mar 20, 2025
- Pension RAUM · $23.5M to $27.3MAug 1, 2024 to Mar 20, 2025
- RAUM · $325M to $342MAug 1, 2024 to Mar 20, 2025
- Advisory employees · 3 to 2Mar 29, 2024 to Aug 1, 2024
- BD registered reps · 4 to 3Mar 29, 2024 to Aug 1, 2024
- Employees · 4 to 3Mar 29, 2024 to Aug 1, 2024
- State-registered IARs · 3 to 2Mar 29, 2024 to Aug 1, 2024
- Accounts · 502 to 503Jan 2, 2024 to Mar 29, 2024
- Charity clients · 4 to 0Jan 2, 2024 to Mar 29, 2024
- HNW clients · 61 to 84Jan 2, 2024 to Mar 29, 2024
- Individual clients · 128 to 131Jan 2, 2024 to Mar 29, 2024
- Pension plan clients · 3 to 2Jan 2, 2024 to Mar 29, 2024
- Assets in custody · $84.0M to $163MJan 2, 2024 to Mar 29, 2024
- Discretionary RAUM · $253M to $291MJan 2, 2024 to Mar 29, 2024
- HNW RAUM · $225M to $260MJan 2, 2024 to Mar 29, 2024
- Individual RAUM · $36.3M to $41.0MJan 2, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $33.0M to $34.2MJan 2, 2024 to Mar 29, 2024
- Pension RAUM · $23.2M to $23.5MJan 2, 2024 to Mar 29, 2024
- RAUM · $286M to $325MJan 2, 2024 to Mar 29, 2024
- Advisory employees · 2 to 3Mar 22, 2023 to Jun 1, 2023
- BD registered reps · 3 to 4Mar 22, 2023 to Jun 1, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- ljacobus@capitalmgmtinc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 336-856-2911reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 336-856-9199reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- capitalmgmtinc.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 336-856-2911reportedpublic record, Form ADV, Mar 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026