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 Investment Management, Inc
Latest filing Apr 16, 2026
First filing on the tape Jul 24, 2012 · 30 filings
SEC status approved since Aug 13, 2012
RAUM
$559M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$559M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$559M as of Apr 16, 2026
Apr 1, 2013$220M then
HNW client RAUM$280M as of Apr 16, 2026
Mar 8, 2018$63.6M then
State-registered IARs (5.B.3)5 as of Apr 16, 2026
Apr 1, 20133 then
Employees (5.A)10 as of Apr 16, 2026
Apr 1, 20135 then
Private funds: no history
RAUM +17% over the last fiscal year+11% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Apr 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 214derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $521,408derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $533MreportedItem 5.I
- 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)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$280M50%
- Individuals$279M50%
- Individual clients
- 932reported
- HNW clients
- 140reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,072reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $533M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Max GarrisonCertified Financial Planner | Lee'S Summit, Mo | Jun 8, 1998 | 38 y | 2 |
| Troy Roland SchusterCertified Financial Planner | Lee'S Summit, Mo | Feb 24, 2003 | 27 y | 3 |
| Matthew Tyler ShullCertified Financial Planner | Lee'S Summit, Mo | Nov 8, 2016 | 18 y | 2 |
| Faith Elizabeth HutchinsCertified Financial Planner | Lee'S Summit, Mo | Mar 4, 2025 | 20 y | 0 |
| Christopher Alan WolffCertified Financial Planner | Lee'S Summit, Mo | Apr 1, 2026 | 13 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Daniel Edward Shepard to Oak Road Wealth ManagementAug 9, 2016 · Other
- John Bocking Fitch to Ecusa, LLCOct 6, 2014 · Other
- Richard Anthony Lundstrom to Securities America Advisors, Inc.Jan 16, 2009 · Other
Joined, latest
- Christopher Alan Wolff from Tower Wealth ManagersApr 1, 2026 · Other
- Matthew Tyler Shull from Cambridge Investment Research Advisors, Inc.Nov 8, 2016 · Other
- Troy Roland Schuster from Transamerica Financial Advisors, LLCFeb 24, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Max David Garrison · Senior Vice Presidentcontrolsince 04/1998 · owns 50% to 75%
- Roland Troy Schuster · President/Chief Compliance Officercontrolsince 02/2005 · owns 25% to 50%
- Tyler Matthew Shull · Secretarysince 01/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
- Capital Tax And Consulting, LLCinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lees Summit, Mo | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 17, 2026 to Apr 16, 2026
- BD registered reps · 4 to 5Mar 17, 2026 to Apr 16, 2026
- Employees · 9 to 10Mar 17, 2026 to Apr 16, 2026
- State-registered IARs · 4 to 5Mar 17, 2026 to Apr 16, 2026
- Accounts · 1,057 to 1,072May 9, 2025 to Mar 17, 2026
- HNW clients · 92 to 140May 9, 2025 to Mar 17, 2026
- Individual clients · 965 to 932May 9, 2025 to Mar 17, 2026
- Discretionary RAUM · $477M to $559MMay 9, 2025 to Mar 17, 2026
- HNW RAUM · $193M to $280MMay 9, 2025 to Mar 17, 2026
- Individual RAUM · $284M to $279MMay 9, 2025 to Mar 17, 2026
- RAUM · $477M to $559MMay 9, 2025 to Mar 17, 2026
- Wrap assets (sponsor) · $477M to $533MMay 9, 2025 to Mar 17, 2026
- Financial planning clients · 251-500 to 251-500Mar 25, 2025 to May 9, 2025
- Accounts · 1,005 to 1,057Mar 27, 2024 to Mar 25, 2025
- Advisory employees · 3 to 4Mar 27, 2024 to Mar 25, 2025
- BD registered reps · 3 to 4Mar 27, 2024 to Mar 25, 2025
- Charity clients · 1 to 0Mar 27, 2024 to Mar 25, 2025
- Individual clients · 912 to 965Mar 27, 2024 to Mar 25, 2025
- Employees · 8 to 9Mar 27, 2024 to Mar 25, 2025
- State-registered IARs · 3 to 4Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $426M to $477MMar 27, 2024 to Mar 25, 2025
- HNW RAUM · $177M to $193MMar 27, 2024 to Mar 25, 2025
- Individual RAUM · $247M to $284MMar 27, 2024 to Mar 25, 2025
- RAUM · $426M to $477MMar 27, 2024 to Mar 25, 2025
- Wrap assets (manager) · $398M to $0Mar 27, 2024 to Mar 25, 2025
- Wrap assets (sponsor) · $0 to $477MMar 27, 2024 to Mar 25, 2025
- Accounts · 1,107 to 1,005Mar 18, 2023 to Mar 27, 2024
- Corporate clients · 1 to 0Mar 18, 2023 to Mar 27, 2024
- HNW clients · 5 to 92Mar 18, 2023 to Mar 27, 2024
- Individual clients · 1,100 to 912Mar 18, 2023 to Mar 27, 2024
- Discretionary RAUM · $28.3M to $426MMar 18, 2023 to Mar 27, 2024
- HNW RAUM · $54.2M to $177MMar 18, 2023 to Mar 27, 2024
- Individual RAUM · $348M to $247MMar 18, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $377M to $0Mar 18, 2023 to Mar 27, 2024
- RAUM · $405M to $426MMar 18, 2023 to Mar 27, 2024
- Wrap assets (manager) · unset to 397894940.0Mar 18, 2023 to Mar 27, 2024
- Wrap assets (sponsor) · unset to 0.0Mar 18, 2023 to Mar 27, 2024
- Individual RAUM · $366M to $348MMar 6, 2023 to Mar 8, 2023
- Non-discretionary RAUM · $44.7M to $377MMar 6, 2023 to Mar 8, 2023
- RAUM · $394M to $405MMar 6, 2023 to Mar 8, 2023
Signals
1 dated events
- Capital Investment Management, Inc filed its initial SEC registration (Form ADV)Jul 24, 2012 · First SEC registration · fact
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 phone
- 816-246-1212reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/cimadvisors/posts/?feedView=allreportedpublic record, Form ADV, Sep 17, 2026
- Website
- cimretirementpros.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 816-246-1212reportedpublic record, Form ADV, Apr 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026