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 Markets Iq, LLC
Latest filing Jul 28, 2026
First filing on the tape Nov 10, 2011 · 134 filings
SEC status approved since Apr 3, 2009
RAUM
$571M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
64%
$365M individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$30.1M
derived; firm RAUM over IAPD count
Employees
23
20 advisory (5.B.1)
Offices
18
beyond the principal office
Private funds
0
reported on Schedule D
History
134 filings and snapshots on the tape
RAUM$571M as of Jul 28, 2026
Mar 29, 2012$416M then
HNW client RAUM$224M as of Jul 28, 2026
Mar 29, 2018$82.2M then
State-registered IARs (5.B.3)19 as of Jul 28, 2026
Mar 27, 20138 then
Employees (5.A)23 as of Jul 28, 2026
Mar 27, 201310 then
Private funds1 as of Mar 30, 2017
Mar 29, 20122 then
RAUM +27% over the last fiscal year+21% a year over threeIARs 19 to 19
Practice profile
derived from the filing of Jul 28, 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
- RAUM per advisor
- $30.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $646,433derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.0derived19 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $30.5M, 69 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$224M39%
- Individuals$142M25%
- Corporations and businesses$121M21%
- Pension and profit-sharing plans$83.5M15%
- Charitable organizations$1.6M0.3%
- Individual clients
- 607reported
- HNW clients
- 91reported
- Pension plan clients
- 101reported
- Charitable clients
- 7reported
- Accounts
- 884reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.5M for 69 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.64 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
19 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kenneth Nelson Wiseman | Greensboro, Nc | Nov 14, 2005 | 21 y | 0 |
| Adam Steven Jorgensen | Arlington, Tx | Aug 31, 2016 | 16 y | 1 |
| Thomas Mitchel Marshburn | Arlington, Tx | Sep 6, 2016 | 34 y | 2 |
| Michael Gregory Dickerson | New Orleans, La | Jul 21, 2017 | 41 y | 4 |
| Jason Daniel Sayles | St. Petersburg, Fl | Sep 22, 2017 | 17 y | 1 |
| Stephen Maynard Alinikoff | Wilkes Barre, Pa | Nov 17, 2017 | 42 y | 3 |
| William W. Peng | Arlington, Tx | Oct 6, 2020 | 18 y | 5 |
| Daniel Eric Millman | Mellville, Ny | Apr 13, 2021 | 12 y | 1 |
| Timothy Gerard Valik | Wyckoff, Nj | Aug 10, 2021 | 17 y | 0 |
| Ian Matthew Johnson | Murphy, Tx | May 26, 2022 | 21 y | 1 |
| Jason Lawrence Bright | Gainsville , Ga | Nov 28, 2022 | 12 y | 1 |
| Michael H. Simms | Arlington, Tx | Jul 31, 2023 | 14 y | 0 |
| David Mirkin | Arlington, Tx | Feb 28, 2025 | 10 y | 0 |
| Zachary Ryan WootenCertified Financial Planner | Shepherdsville, Ky | Apr 29, 2025 | 13 y | 3 |
| Lawrence Fernandes Pereira | Cohasset, Ma | Aug 21, 2025 | 29 y | 0 |
| Matthew V Rabinowitz | Arlington, Tx | Sep 3, 2025 | 20 y | 0 |
| William John Penson Lawton | Arlington, Tx | Dec 19, 2025 | 30 y | 2 |
| Thomas Matthew Chase | Arlington, Tx | Dec 22, 2025 | 12 y | 1 |
| Robert Alan Schreiber | Memphis, Tn | Jan 30, 2026 | 40 y | 3 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.3% of current headcount5 left over 36 months
Left, latest
- Jeffrey Crouse to Saltmarsh Financial Advisors, LLCFeb 11, 2026 · RIA to RIA
- Alan Edward Kuzma to Royal Fund Management, LLCJul 21, 2025 · RIA to RIA
- Grace Sheffield Brettkelly to Cerity Partners LLCDec 9, 2024 · RIA to RIA
- Mark Allan Hajek to Mariner IndependentJul 1, 2024 · RIA to RIA
- Gil Blas Montilla Velez to Amerity Wealth Management, LLCFeb 5, 2024 · RIA to RIA
- Thomas Patrick Smith to Realta Investment Advisors, IncOct 12, 2022 · RIA to affiliated broker-dealer or bank
- Catherine Irene Fortier to Pruco Securities, LLCNov 1, 2019 · RIA to affiliated broker-dealer or bank
- Steven Brian Castro to Centric Advisors, LLCMar 5, 2019 · RIA to RIA
- Scott Rossiter Perrone to Kovack Advisors, Inc.Feb 13, 2019 · RIA to affiliated broker-dealer or bank
- Jeffrey Lamar Richardson to Morgan StanleyFeb 1, 2019 · RIA to wirehouse
- William W. Peng to Quest Capital Strategies, Inc.Mar 21, 2018 · RIA to RIA
- Jason Scott Rasmussen to Slatestone Wealth LLCDec 4, 2017 · Other
- Glenn William Koehl to Slatestone Wealth LLCDec 4, 2017 · Other
- Walter C Richardson to Vanderbilt Advisory ServicesNov 16, 2017 · Other
- Benjamin Chase Chandler to Spotlight Asset GroupAug 25, 2017 · Other
Joined, latest
- Thomas Matthew Chase from Kalos ManagementDec 22, 2025 · Other
- William John Penson Lawton from Concert Wealth ManagementDec 19, 2025 · Other
- Jeffrey Crouse from Strategic Advisers LLCJul 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- Zachary Ryan Wooten from Csenge Advisory Group, LLCApr 29, 2025 · RIA to RIA
- Jason Lawrence Bright from Thrivent Investment Management Inc.Nov 28, 2022 · Affiliated broker-dealer or bank to independent RIA
- Thomas Patrick Smith from Center Street Advisors, Inc.Aug 12, 2022 · RIA to RIA
- Ian Matthew Johnson from Center Street Advisors, Inc.May 26, 2022 · RIA to RIA
- Daniel Eric Millman from Morgan StanleyApr 13, 2021 · Wirehouse to independent RIA
- William W. Peng from Stonex Advisors Inc.Oct 6, 2020 · Affiliated broker-dealer or bank to independent RIA
- Alan Edward Kuzma from Global Financial Private Capital, Inc.Jan 30, 2018 · Other
- Stephen Maynard Alinikoff from Prospera Financial Services, Inc.Nov 17, 2017 · Other
- Gil Blas Montilla Velez from Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 15, 2017 · Wirehouse to independent RIA
- Steven Brian Castro from Concert Wealth ManagementOct 2, 2017 · Other
- Jason Daniel Sayles from Hajek Advisory Consultants, LLCSep 22, 2017 · Other
- Michael Gregory Dickerson from Carlton Hall Asset Management, LLCJul 21, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Slatestone Wealth LLCDec 4, 2017 · Grapevine, Tx
Private funds
3 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- B Anita Carlino · Controllercontrolsince 03/2020 · owns less than 5%
- Y Penelope Turnbow · Chief Legal Officer & Chief Compliance Officercontrolsince 01/2009 · owns less than 5%
- Nelson Kenneth Wiseman · Presidentcontrolsince 06/2006 · owns less than 5%
- Y Penelope Turnbow · Membercontrolsince 12/2007 · owns 75% or more of Extensor Capital N.A., LLC
- Nelson Kenneth Wiseman · Trust Beneficarycontrolsince 01/2013 · owns F of Lcm/Hpw Trust
Entity owners
- Extensor Capital N.A., LLC · Memberdirect · owns 25% to 50%
- Lcm/Hpw Trust · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- Anita Carlinoinsurancen
- Cerity Partners LLCinvestment advisernRAUM $162B
- Daniel E Millmanreal estaten
- Daniel E Millmanpooled vehicle sponsorn
- Daniel E Millmanpooled vehicle sponsorn
- Daniel E. Millmanpooled vehicle sponsorn
- Daniel E. Millmanpooled vehicle sponsorn
- Daniel E. Millmanpooled vehicle sponsorn
- Daniel E. Millmanpooled vehicle sponsorn
- Penelope Y. Turnbow, Esqy
- Samuel C. Talbertreal estaten
- William Penginvestment companyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Arlington, Tx | 18 | 2 | 1 | ||
| Palm Beach Gardens, Fl | 2 | 0 | 0 | ||
| St Petersburg, Fl | 1 | 0 | 0 | ||
| San Francisco, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- St. Petersburg, FL2 employees
- Palm Beach Gardens, FL2 employees
- Lincoln, NE1 employees
- Melville, NY1 employees
- Southfield, MI1 employees
- Davis, CA1 employees
- , 1 employees
- Lawrenceville, GA1 employees
What changed
consecutive filings, newest first
- Accounts · 827 to 884Feb 11, 2026 to Mar 25, 2026
- Advisory employees · 19 to 20Feb 11, 2026 to Mar 25, 2026
- Advisory activities · 5 to 4Feb 11, 2026 to Mar 25, 2026
- Charity clients · 10 to 7Feb 11, 2026 to Mar 25, 2026
- Corporate clients · 64 to 78Feb 11, 2026 to Mar 25, 2026
- HNW clients · 45 to 91Feb 11, 2026 to Mar 25, 2026
- Individual clients · 610 to 607Feb 11, 2026 to Mar 25, 2026
- Pension plan clients · 98 to 101Feb 11, 2026 to Mar 25, 2026
- Assets in custody · $19.7M to $30.5MFeb 11, 2026 to Mar 25, 2026
- Employees · 26 to 23Feb 11, 2026 to Mar 25, 2026
- Discretionary RAUM · $353M to $456MFeb 11, 2026 to Mar 25, 2026
- HNW RAUM · $126M to $224MFeb 11, 2026 to Mar 25, 2026
- Individual RAUM · $151M to $142MFeb 11, 2026 to Mar 25, 2026
- Non-discretionary RAUM · $98.1M to $116MFeb 11, 2026 to Mar 25, 2026
- Pension RAUM · $69.7M to $83.5MFeb 11, 2026 to Mar 25, 2026
- RAUM · $451M to $571MFeb 11, 2026 to Mar 25, 2026
- Financial planning clients · 11-25 to 11-25Jun 23, 2025 to Jul 22, 2025
- Accounts · 680 to 827Feb 7, 2025 to Apr 3, 2025
- Advisory employees · 21 to 19Feb 7, 2025 to Apr 3, 2025
- Advisory activities · 6 to 5Feb 7, 2025 to Apr 3, 2025
- Charity clients · 7 to 10Feb 7, 2025 to Apr 3, 2025
- Corporate clients · 52 to 64Feb 7, 2025 to Apr 3, 2025
- HNW clients · 60 to 45Feb 7, 2025 to Apr 3, 2025
- Individual clients · 474 to 610Feb 7, 2025 to Apr 3, 2025
- Pension plan clients · 87 to 98Feb 7, 2025 to Apr 3, 2025
- Assets in custody · $24.9M to $19.7MFeb 7, 2025 to Apr 3, 2025
- Employees · 24 to 26Feb 7, 2025 to Apr 3, 2025
- Insurance-licensed employees · 1 to 0Feb 7, 2025 to Apr 3, 2025
- State-registered IARs · 21 to 19Feb 7, 2025 to Apr 3, 2025
- Other offices · 17 to 18Feb 7, 2025 to Apr 3, 2025
- Discretionary RAUM · $302M to $353MFeb 7, 2025 to Apr 3, 2025
- HNW RAUM · $145M to $126MFeb 7, 2025 to Apr 3, 2025
- Individual RAUM · $87.7M to $151MFeb 7, 2025 to Apr 3, 2025
- Non-discretionary RAUM · $90.0M to $98.1MFeb 7, 2025 to Apr 3, 2025
- Pension RAUM · $50.5M to $69.7MFeb 7, 2025 to Apr 3, 2025
- RAUM · $392M to $451MFeb 7, 2025 to Apr 3, 2025
- Related adviser · true to falseFeb 7, 2025 to Apr 3, 2025
- Other offices · 18 to 17Jan 31, 2025 to Feb 7, 2025
- HQ city · unset to Dec 16, 2024 to Jan 31, 2025
- HQ state · unset to Dec 16, 2024 to Jan 31, 2025
Signals
10 dated events
- Capital Markets Iq, Llc reported RAUM $571.4M, up 27% from $450.9M (2026-02-11 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- Jeffrey Crouse left Capital Markets Iq, Llc for Saltmarsh Financial Advisors, Llc (registered 2026-03-17)Feb 11, 2026 · Advisor changed firm · fact
- Alan Edward Kuzma left Capital Markets Iq, Llc for Royal Fund Management, Llc (registered 2025-07-24)Jul 21, 2025 · Advisor changed firm · fact
- Grace Sheffield Brettkelly left Capital Markets Iq, Llc for Cerity Partners Llc (registered 2025-01-01)Dec 9, 2024 · Advisor changed firm · fact
- Mark Allan Hajek left Capital Markets Iq, Llc for Mariner Independent (registered 2024-07-12)Jul 1, 2024 · Advisor changed firm · fact
- Gil Blas Montilla Velez left Capital Markets Iq, Llc for Amerity Wealth Management, Llc (registered 2023-11-02)Feb 5, 2024 · Advisor changed firm · fact
- Thomas Patrick Smith left Capital Markets Iq, Llc for Realta Investment Advisors, Inc (registered 2022-11-02)Oct 12, 2022 · Advisor changed firm · fact
- Michele Dawn Bratcher (Controller) no longer on Schedule A of Capital Markets Iq, Llc (listed 2020-03-17, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- B Anita Carlino (Controller) appeared on Schedule A of Capital Markets Iq, LlcMar 27, 2020 · Control person joined · fact
- Capital Markets Iq, Llc reported 18 offices beyond its principal office, down from 27 (2019-03-07 to 2019-03-28)Mar 28, 2019 · Office count change · derived
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
- Firm profile
- linkedin.com/company/noblestone-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/king-harbor-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- burgcap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310.882.6380reportedpublic record, Form ADV, Jul 28, 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
- $30.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026