Capital Portfolio Management L.L.C

CRD#127372
Investment Advisor Firm

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Learn more about Capital Portfolio Management L.L.C

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

    • Overview

    Capital Portfolio Management L.L.C operates as a financial advisor firm located in Topeka, Kansas. The firm has $144.9 million in assets over 306 customer accounts, placing it in the mid-tier of investment advisory firms in the country by assets under management (AUM). It has a small team, including 3 financial advisors. Capital Portfolio Management L.L.C does not act as a registered broker-dealer, signifying that it is not able to buy and sell securities for its own accounts as well as its clients' and instead has to go through a broker-dealer firm to do so. Securities are defined as exchangable fiscal assets like options, stocks and bonds.

    Capital Portfolio Management L.L.C manages all of the firm's accounts on a discretionary basis. Discretionary management is a structure in which an investment advisor has the discretion to make buy and sell judgments for the client's account without requiring the customer's consent. Capital Portfolio Management L.L.C's typical account size is $473,544. The typical advisor at Capital Portfolio Management L.L.C oversees about 102 client accounts.

    The company's main office is located at 505 Sw Washburn Ave., Topeka, Kansas 66606-1523. It is permitted to serve customers throughout a number of states, including Kansas, Missouri and Texas.

    Assets Under Management

    $144.9 million

    Number of Advisors

    3

    Disclosures

    No

    Office Location

    505 Sw Washburn Ave.
    Topeka, KS 66606-1523

    Capital Portfolio Management L.L.C by the Numbers

    Total Assets Under Management

    $144.9 million

    National Average: $8.6 billion
    Total Number of Employees

    5

    National Average: 64
    Total Number of Accounts

    306

    National Average: 375,227
    Average Account Size

    $473.5 thousand

    National Average: $23.0 thousand
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    Products and Services

    Capital Portfolio Management L.L.C offers a variety of services, which can consist of financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients and other services. In the past financial year, it provided 1-10 of its clients with financial planning services. The company is not involved in selling products or offering services apart from investment advisory services to its investment advisory accounts.

    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

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    Fee Structure

    A financial advisor's fees typically depend on which services the firm provides the client. However, fees billed by the company most likely are comprised of some combination of the following fee structures: asset-based, hourly, fixed or commission-based. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the company.

    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 1% of firms

      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.

    • 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 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

    Capital Portfolio Management L.L.C works with retail investors, high net worth investors, pension plans and charitable organizations. Out of its 306 customers, Capital Portfolio Management L.L.C's biggest client group is retail investors, but it also serves 56 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 in AUM or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's clients reside abroad.

    • High-Net-Worth Individuals* - 18.3%
    • Other Individuals - 78.43%
    • Corporations - 2.61%
    • Charitable Organizations - 0.65%

    * 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 Portfolio Management L.L.C does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Capital Portfolio Management L.L.C

    John Orindgreff
    Topeka, KS
    James Dejulio
    Topeka, KS
    Jared Rand
    Topeka, KS

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