Capitol Securities Management, Inc

CRD#14169
Investment Advisor and Brokerage Firm

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Learn more about Capitol Securities Management, Inc

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Capitol Securities Management, Inc is located at 4050 Innslake Drive, Glen Allen, VA. The firm employs 126 financial advisors. Capitol Securities Management, Inc is a registered broker-dealer.

    The firm manages $1.8 billion in assets under management across 3,745 accounts, with 3,074 discretionary accounts and 671 non-discretionary accounts. In the past year, the firm has provided financial planning services to between 51 and 100 clients. Services offered include financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, and educational seminars. The firm serves a range of investors, including retail investors, high net worth investors, pension plans, charitable organizations, state or municipal government entities, corporations, and others. Retail investors represent the largest client type by accounts. The fee structure includes asset-based, hourly, and fixed fees. Capitol Securities Management, Inc has 1,183 high net worth clients and maintains an affiliation with an insurance company or agency.

    Capitol Securities Management, Inc is registered in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Montana, Nebraska, Nevada, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Utah, Vermont, Virginia, West Virginia, Wisconsin, Wyoming, Missouri, Washington, Texas, and New Hampshire.

    Assets Under Management

    $1.8 billion

    Number of Advisors

    126

    Disclosures

    No

    Office Location

    4050 Innslake Drive
    Glen Allen, VA 23060

    Capitol Securities Management, Inc by the Numbers

    Total Assets Under Management

    $1.8 billion

    National Average: $8.6 billion
    Total Number of Employees

    170

    National Average: 64
    Total Number of Accounts

    3,745

    National Average: 375,227
    Average Account Size

    $485.6 thousand

    National Average: $23.0 thousand
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    Products and Services

    Services that Capitol Securities Management, Inc offers can include financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, and educational seminars. In the prior financial year, Capitol Securities Management, Inc provided 51-100 of its customers with financial planning servcies. The firm is involved in selling products or offering services other than investment advice to its customers. Capitol Securities Management, Inc is also affiliated with a number of other companies in the financial services industry, including with an insurance company or agency.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

    • Find a firm that offers this service

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Offered by 6% of firms

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Fees for financial advisory services typically depend on the type of services provided. However, fees billed by Capitol Securities Management, Inc may include some combination of the following fee structures: asset-based, hourly, and fixed. The company participates in a wrap fee program, in which the company offers a service bundle for a single fee.The company has the ability to withdraw the charges directly from client accounts.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The company works with a broad range of customers. The company provides services to retail investors, high net worth investors, pension plans, charitable organizations, state or municipal government entities, corporations, and other. Out of its 3,745 clients, Capitol Securities Management, Inc's biggest client group by number of accounts is retail investors, though it also serves 1,183 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 under management or a net worth of more than $1.50 million or who is a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 31.59%
    • Other Individuals - 48.52%
    • Corporations - 19.55%
    • Charitable Organizations - 0.35%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Capitol Securities Management, Inc does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Capitol Securities Management, Inc

    James Cashmore
    Tampa, FL
    Gregory Clarke
    Reston, VA
    Joseph Markim
    Glen Allen, VA
    Yevgeniy Shvets
    Reston, VA
    John Trentanove
    Charlottesville, VA
    Edwin Bartlett
    Wilmington, NC
    Wythe Hogge
    Glen Allen, VA
    Robert Green
    Marmora, NJ
    Jane Whittemore
    Glen Allen, VA

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