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.
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SEC-registered adviser
C••••••••• C•••••• M••••••••• I•••
Latest filing Mar 12, 2026
First filing on the tape Mar 27, 2012 · 38 filings
SEC status approved since Sep 1, 2005
RAUM
$653M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
98%
$637M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$163M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$653M as of Mar 12, 2026
Mar 27, 2012$132M then
HNW client RAUM$553M as of Mar 12, 2026
Mar 23, 2018$253M then
State-registered IARs (5.B.3)4 as of Mar 12, 2026
Mar 27, 20120 then
Employees (5.A)8 as of Mar 12, 2026
Mar 25, 20137 then
Private funds: no history
RAUM +12% over the last fiscal year+15% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 12, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $163MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $327,806derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- +8.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $493MreportedItem 5.I
- Custody
- $183M, 208 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$553M85%
- Individuals$84.4M13%
- Corporations and businesses$12.5M1.9%
- Pension and profit-sharing plans$3.5M0.5%
- Individual clients
- 234reported
- HNW clients
- 204reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,992reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $183M for 208 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• G•••• W••••• | Raleigh, Nc | Dec 31, 2001 | 34 y | 0 |
| T••• W•••• S••••• | Raleigh, Nc | Dec 31, 2001 | 33 y | 0 |
| C••• B•••••• C•••• | Raleigh, Nc | Nov 30, 2005 | 23 y | 0 |
| D••••• C••••• S•••••Certified Financial Planner | Raleigh, Nc | Sep 9, 2010 | 18 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• E•••• R•••••• · Chief Operating Officer And Director Of Compliancecontrolsince 03/2018 · owns less than 5%
- S•••••• T•••• W•••• · President,Chief Compliance Officercontrolsince 07/1994 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Austin, TX4 employees
- Charlottesville, VA4 employees
- Decatur, GA4 employees
What changed
consecutive filings, newest first
- Accounts · 1,995 to 1,992Mar 25, 2025 to Mar 12, 2026
- Corporate clients · 11 to 8Mar 25, 2025 to Mar 12, 2026
- HNW clients · 193 to 204Mar 25, 2025 to Mar 12, 2026
- Individual clients · 212 to 234Mar 25, 2025 to Mar 12, 2026
- Assets in custody · $157M to $183MMar 25, 2025 to Mar 12, 2026
- Discretionary RAUM · $540M to $608MMar 25, 2025 to Mar 12, 2026
- HNW RAUM · $493M to $553MMar 25, 2025 to Mar 12, 2026
- Individual RAUM · $78.0M to $84.4MMar 25, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $42.7M to $44.6MMar 25, 2025 to Mar 12, 2026
- Pension RAUM · $723,624 to $3.5MMar 25, 2025 to Mar 12, 2026
- RAUM · $582M to $653MMar 25, 2025 to Mar 12, 2026
- Accounts · 1,815 to 1,995Mar 21, 2024 to Mar 25, 2025
- Corporate clients · 13 to 11Mar 21, 2024 to Mar 25, 2025
- HNW clients · 170 to 193Mar 21, 2024 to Mar 25, 2025
- Individual clients · 206 to 212Mar 21, 2024 to Mar 25, 2025
- Assets in custody · $131M to $157MMar 21, 2024 to Mar 25, 2025
- Financial planning clients · 251-500 to 251-500Mar 21, 2024 to Mar 25, 2025
- Other offices · 3 to 0Mar 21, 2024 to Mar 25, 2025
- Discretionary RAUM · $456M to $540MMar 21, 2024 to Mar 25, 2025
- HNW RAUM · $404M to $493MMar 21, 2024 to Mar 25, 2025
- Individual RAUM · $79.8M to $78.0MMar 21, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $42.4M to $42.7MMar 21, 2024 to Mar 25, 2025
- Pension RAUM · $3.5M to $723,624Mar 21, 2024 to Mar 25, 2025
- RAUM · $499M to $582MMar 21, 2024 to Mar 25, 2025
- Accounts · 1,854 to 1,815Sep 15, 2023 to Mar 21, 2024
- Corporate clients · unset to 13.0Sep 15, 2023 to Mar 21, 2024
- HNW clients · 146 to 170Sep 15, 2023 to Mar 21, 2024
- Individual clients · 227 to 206Sep 15, 2023 to Mar 21, 2024
- Assets in custody · $85.4M to $131MSep 15, 2023 to Mar 21, 2024
- Discretionary RAUM · $387M to $456MSep 15, 2023 to Mar 21, 2024
- HNW RAUM · $332M to $404MSep 15, 2023 to Mar 21, 2024
- Individual RAUM · $86.9M to $79.8MSep 15, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $41.2M to $42.4MSep 15, 2023 to Mar 21, 2024
- Pension RAUM · $2.0M to $3.5MSep 15, 2023 to Mar 21, 2024
- RAUM · $428M to $499MSep 15, 2023 to Mar 21, 2024
- Accounts · 1,722 to 1,854Nov 23, 2022 to Mar 28, 2023
- Advisory activities · 2 to 3Nov 23, 2022 to Mar 28, 2023
- HNW clients · 169 to 146Nov 23, 2022 to Mar 28, 2023
- Individual clients · 166 to 227Nov 23, 2022 to Mar 28, 2023
- Assets in custody · $123M to $85.4MNov 23, 2022 to Mar 28, 2023
Signals
1 dated events
- Rebecca Erin Capps (Chief Operating Officer And Director Of Compliance) appeared on Schedule A of C••••••••• C•••••• M••••••••• I•••Jul 26, 2023 · Control person joined · 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
- 800-333-1701reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 919-838-0101reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/C•••••••••-CAPITAL-MANAGEMENT-INC-reportedpublic record, Form ADV, Sep 19, 2026
- Website
- C•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 919-838-0101reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- collegiatecapital.com/contactreportedpublished by the firm, firm site, Sep 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
- $163Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026