Capital Investment Advisory Services, LLC

CRD#149124
Investment Advisor Firm

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Overview

Capital Investment Advisory Services, LLC operates as a financial advisor company based in Raleigh, North Carolina. Capital Investment Advisory Services, LLC oversees $1.8 billion in assets under management over 9,990 client accounts, placing it among the largest financial advisory firms in the country by assets under management (AUM). The company has a large group, including 78 financial advisors. Capital Investment Advisory Services, LLC does not act as a registered broker-dealer, signifying that the advisor cannot buy and sell securities for its own accounts as well as its customers' and instead must go through a broker-dealer company to do so. Securities are defined as exchangable financial assets like options, equities and bonds.

Capital Investment Advisory Services, LLC oversees the majority of the firm's accounts in a discretionary manner. Discretionary management is a structure in which a portfolio manager has the discretion to make transaction choices for the client's account without needing to seek client approval. The firm also has 216 non-discretionary accounts totaling $105.2 million in assets under management. The investment advisory firm's average account size is $184,482. An average advisor at Capital Investment Advisory Services, LLC manages about 128 client accounts.

The firm's central office is at 100 E. Six Forks Road, Raleigh, North Carolina 27609. The company is registered to serve customers throughout 36 U.S. states and territories.

Assets Under Management

$1.8 billion

Number of Advisors

78

Disclosures

No

Office Location

100 E. Six Forks Road
Raleigh, NC 27609

Capital Investment Advisory Services, LLC by the Numbers

Total Assets Under Management

$1.8 billion

National Average: $8.6 billion
Total Number of Employees

116

National Average: 64
Total Number of Accounts

9,990

National Average: 375,227
Average Account Size

$184.5 thousand

National Average: $23.0 thousand
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Products and Services

Capital Investment Advisory Services, LLC offers a number of services, which can include financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services and selection of other advisers. In the last fiscal year, Capital Investment Advisory Services, LLC provided financial planning services to 11-25 of its clients. The company does not sell products or offer services apart from investment advisory services to its investment advisory accounts. The company is affiliated with one or more other service providers in the financial services industry, including with a broker-dealer or securities dealer and 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.

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    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.

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    Publication of Periodicals

    This is the publication of various financial education materials.

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    Educational Seminars/Workshops

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

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Fee Structure

Fees charged by financial advisors vary depending on which service is provided. Fee types billed by the company most likely consist of the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are offered by the firm.

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 firm does business with a broad range of customers. The company provides services to retail investors, high net worth investors, pension plans, charitable organizations, insurance companies and corporations. Out of its 9,990 clients, Capital Investment Advisory Services, LLC's largest client group by number of accounts is retail investors, but it also caters to 446 high-net-worth individuals. A high-net-worth individual is defined by the SEC as a person who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's clients are non-U.S. persons.

  • High-Net-Worth Individuals* - 6.62%
  • Other Individuals - 91.22%
  • Corporations - 1.99%
  • Charitable Organizations - 0.18%

* 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

Capital Investment Advisory Services, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Capital Investment Advisory Services, LLC

Kemp Mebane
Raleigh, NC
John Palko
Charlotte, NC
Jeffery Hanna
Raleigh, NC
Victor Banks
Raleigh, NC
Michael Brennan
Raleigh, NC
John Culp
Raleigh, NC
Tammie Farrell
Raleigh, NC
Edward Sabo
Murrells Inlet, SC
Paul Cranfill
Raleigh, NC

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The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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