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SEC data October 1, 2026
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SEC data October 1, 2026
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Sign in or start freeWealth manager, independent
SEC-registered investment adviser · CRD 134921 · SEC 801-69992
At a glance
Capital Markets IQ, LLC is an SEC-registered investment adviser based in United States, with $571 million in regulatory assets under management as of its Form ADV filed July 28, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 698 individual clients. By Form ADV it is a wealth manager, ranked 2,584th of 8,915 wealth managers and 7,283rd of 17,210 SEC-registered advisers by assets.
capitalmarketsiq.comLinkedInAs filed on Form ADV
Hybrid RIA
Capital Markets IQ, LLC is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Intercarolina Financial Services, an unaffiliated broker-dealer, as the broker-dealer its advisers are registered with.
Broker-dealer Kenneth Wiseman is a registered representative of Intercarolina Financial Services, Inc., an unaffiliated registered broker dealer located in Greensboro, North Carolina.
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 91 | $224M | 39% |
| Individuals | 607 | $142M | 25% |
| Corporations or other businesses | 78 | $121M | 21% |
| Pension and profit sharing plans | 101 | $83M | 15% |
| Charitable organizations | 7 | $2M | <1% |
Capital Markets IQ, LLC answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
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Capital Markets IQ, LLC reports $571 million in regulatory assets under management across 884 accounts, 80% of it on a discretionary basis, on its Form ADV filed July 28, 2026.
Capital Markets IQ, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
By assets, its largest client types are high-net-worth individuals ($224 million, 91 clients); individuals ($142 million, 607 clients); corporations or other businesses ($121 million, 78 clients).
Capital Markets IQ, LLC answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Every figure is Capital Markets IQ, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-28), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →