CAPITAL INVESTMENT MANAGEMENT, INC
SEC RegisteredYour Future Awaits
About the firm
Capital Investment Management is an independent advisory firm that offers objective, personal financial advice. Every advisor at the firm is a CFP® professional dedicated to acting in clients' best interests. The firm creates financial plans designed to help clients retire confidently.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Investment Management, Retirement Planning, Tax Planning (with qualified CPA), Estate Planning (with qualified attorney), Life Insurance, and Long-Term Care Insurance.
Who they serve
Individuals approaching retirement who have questions about 401(k)s or other retirement plans, retirement lifestyle affordability, and leaving a legacy for their family.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 932 | $279M |
| High Net Worth Individuals | 140 | $280M |
| Investment Companies | 0 | — |
| Pooled Investment Vehicles | 0 | $0 |
| Pension/Profit Sharing Plans | 0 | $0 |
| Charitable Organizations | 0 | $0 |
| State/Municipal Entities | 0 | — |
| Insurance Companies | 0 | — |
| Sovereign Wealth Funds | 0 | — |
| Corporations | 0 | $0 |
80 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
5 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| WealthPort 0-500k | 1.25% |
| WealthPort 500k-1M | 1.10% |
| WealthPort 1M-2M | 1.00% |
| WealthPort 2M-3M | 0.90% |
| WealthPort 3M-5M | 0.80% |
| WealthPort 5M+ | 0.00% |
| CMAP 0-500k | 1.32% |
| CMAP 500k-1M | 1.17% |
| CMAP 1M-2M | 1.07% |
| CMAP 2M-3M | 0.97% |
| CMAP 3M-5M | 0.87% |
| CMAP 5M+ | 0.00% |
Data as of April 16, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. CAPITAL INVESTMENT MANAGEMENT, INC has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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