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 Cities, LLC
Latest filing Mar 11, 2026
First filing on the tape Mar 24, 2012 · 23 filings
SEC status approved since Jun 17, 2008
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$0 as of Mar 11, 2026
Mar 6, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Mar 11, 2026
Mar 24, 20120 then
Employees (5.A)10 as of Mar 11, 2026
Feb 25, 20139 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 10 to 10
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- pension consulting, selection of other advisers, otherreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Anthony Williams | Indianapolis, In | Aug 7, 2021 | 10 y | 0 |
| Bethany Grace Herr | Indianapolis, In | Aug 20, 2021 | 14 y | 0 |
| Robert Brian Pelkey | Indianapolis, In | Mar 7, 2024 | 21 y | 3 |
| Susan R. Somers | Indianapolis, In | Mar 7, 2024 | 22 y | 2 |
| Corey Stephen WaddellChartered Financial Analyst | Indianapolis, In | Mar 7, 2024 | 12 y | 2 |
| Ryan Anthony Dattilo | Indianapolis, In | Jan 10, 2025 | 10 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
- Nathan Jeffrey Kinney to Fi3 Financial Advisors, LLCJan 21, 2021 · Other
Joined, latest
- Robert Brian Pelkey from 40/86 Advisors, Inc.Oct 10, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jane Amanda Black · Principal, Chief Investment Officercontrolsince 01/2017 · owns 10% to 25%
- Maxwell William Mauger · Founding & Managing Principal/Chief Compliance Officercontrolsince 03/1998 · owns 50% to 75%
- Brian Robert Pelkey · Principal, Director Of Operationscontrolsince 01/2024 · owns less than 5%
- Janea Tiffany Spudich · Principal, Chief Investment Officercontrolsince 01/2017 · owns 10% to 25%
- Stephen Corey Waddell · Principal, Director Of Consultingcontrolsince 01/2024 · owns 5% to 10%
- Bill Joe Wiley · Founding Principalcontrolsince 03/1998 · owns 10% to 25%
Related persons
Schedule D 7.A
- Capital Cities Investmentsinvestment advisernRAUM $288M
Advisers that list Capital Cities, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 10 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pension plan clients · 19 to 15Mar 6, 2025 to Mar 11, 2026
- Accounts · unset to 0.0Nov 12, 2024 to Mar 6, 2025
- Financial planning clients · unset to Nov 12, 2024 to Mar 6, 2025
- Discretionary RAUM · unset to 0.0Nov 12, 2024 to Mar 6, 2025
- Non-discretionary RAUM · unset to 0.0Nov 12, 2024 to Mar 6, 2025
- RAUM · unset to 0.0Nov 12, 2024 to Mar 6, 2025
- Insurance-licensed employees · 7 to 4Feb 26, 2023 to Mar 8, 2024
- Business name · CAPITAL CITIES, L.L.C. to CAPITAL CITIES, LLCMar 30, 2022 to Feb 26, 2023
- Pension plan clients · 18 to 19Mar 30, 2022 to Feb 26, 2023
- Legal name · CAPITAL CITIES, L.L.C. to CAPITAL CITIES, LLCMar 30, 2022 to Feb 26, 2023
- Advisory employees · 9 to 10Aug 27, 2021 to Mar 30, 2022
- State-registered IARs · 9 to 10Aug 27, 2021 to Mar 30, 2022
- Charity clients · 16.0 to unsetMar 3, 2020 to Mar 9, 2021
- Pension plan clients · 15 to 18Mar 3, 2020 to Mar 9, 2021
- Employees · 11 to 10Mar 3, 2020 to Mar 9, 2021
- Employees · 10 to 11Mar 6, 2019 to Mar 3, 2020
- State-registered IARs · 8 to 9Mar 6, 2019 to Mar 3, 2020
- Advisory employees · 10 to 9Mar 2, 2018 to Mar 6, 2019
- Charity clients · 14 to 16Mar 2, 2018 to Mar 6, 2019
- Pension plan clients · 13 to 15Mar 2, 2018 to Mar 6, 2019
- Employees · 11 to 10Mar 2, 2018 to Mar 6, 2019
- Insurance-licensed employees · 8 to 7Mar 2, 2018 to Mar 6, 2019
- State-registered IARs · 9 to 8Mar 2, 2018 to Mar 6, 2019
- Advisory employees · 7 to 10Mar 9, 2017 to Mar 2, 2018
- Charity clients · unset to 14.0Mar 9, 2017 to Mar 2, 2018
- Pension plan clients · unset to 13.0Mar 9, 2017 to Mar 2, 2018
- Employees · 8 to 11Mar 9, 2017 to Mar 2, 2018
- Insurance-licensed employees · 7 to 8Mar 9, 2017 to Mar 2, 2018
- State-registered IARs · 7 to 9Mar 9, 2017 to Mar 2, 2018
- Other offices · unset to 0.0Mar 9, 2017 to Mar 2, 2018
- Advisory employees · 8 to 7Feb 17, 2016 to Mar 9, 2017
- Employees · 9 to 8Feb 17, 2016 to Mar 9, 2017
- Insurance-licensed employees · 8 to 7Feb 17, 2016 to Mar 9, 2017
- State-registered IARs · 8 to 7Feb 17, 2016 to Mar 9, 2017
- Employees · 10 to 9Mar 6, 2015 to Feb 17, 2016
- Advisory employees · 7 to 8Mar 26, 2014 to Mar 6, 2015
- Insurance-licensed employees · 6 to 8Mar 26, 2014 to Mar 6, 2015
- State-registered IARs · 7 to 8Mar 26, 2014 to Mar 6, 2015
- Advisory employees · 6 to 7Jan 27, 2014 to Mar 26, 2014
- Employees · 9 to 10Jan 27, 2014 to Mar 26, 2014
Signals
3 dated events
- Ervin Gene Krinn (Member/Senior Advisor) no longer on Schedule A of Capital Cities, Llc (listed 2024-03-08, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Stephen Corey Waddell (Principal, Director Of Consulting) appeared on Schedule A of Capital Cities, LlcMar 27, 2024 · Control person joined · fact
- Brian Robert Pelkey (Principal, Director Of Operations) appeared on Schedule A of Capital Cities, LlcMar 27, 2024 · 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
- Website
- CAPCITIES.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 317-475-4500reportedpublic record, Form ADV, Mar 11, 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
- No RAUM reportedderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026