Federal Data Hub › SEC Form ADV · JSON · SEC IAPD ↗

CAPITOL SECURITIES MANAGEMENT, INC.

dba CAPITOL SECURITIES MANAGEMENT, INC. · CRD 14169 · Registered Investment Adviser

Criminal disclosureRegulatory disclosure

CAPITOL SECURITIES MANAGEMENT, INC. is a Registered Investment Adviser headquartered in GLEN ALLEN, VA. The firm reports $2,162,366,778 in regulatory assets under management across 3,970 accounts. It reports 11 Form ADV Item 11 disciplinary disclosure(s) (Criminal, Regulatory).

Regulatory assets under management

Discretionary$1,842,954,253
Non-discretionary$319,412,525
Total RAUM$2,162,366,778
Accounts3,970

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 11 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)Yes
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)—

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 14169. adviserinfo.sec.gov/firm/summary/14169.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

License: CC0 1.0 Universal. Corrections: corrections @ ai-analytics.org.