Wealth manager, independent · Dallas, TX
Capital Ideas
Capital Ideas, LLC · SEC-registered investment adviser · CRD 114352 · SEC 801-66816
At a glance
Capital Ideas is an SEC-registered investment adviser based in Dallas, Texas, with $336 million in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 96 individual clients. By Form ADV it is a wealth manager, ranked 4,033rd of 8,915 wealth managers and 9,608th of 17,210 SEC-registered advisers by assets.
Main office 214-750-4400cap-ideas.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $336M
- Rank among wealth managers
- #4,033 of 8,915
- Rank among all SEC RIAs
- #9,608 of 17,210
- Rank in Texas
- #639 of 1,081
- Individual clients
- 96
- High-net-worth clients
- 50
- Accounts
- 270
- Discretionary
- 99% of AUM
- Employees
- 5
- Advisory staff
- 5
- Offices
- 3
Owners and executives on its Form ADV
- Clifford J. BrottChairman Emeritus
- Karen R. BurnsPresident
- Andrew P. KeraiChairman/chief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Capital Ideas is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Rhodes Securities, an unaffiliated broker-dealer, as the broker-dealer its advisers are registered with.
Two of our advisory agents are registered representatives of Rhodes Securities, Inc.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 50 | $246M | 73% |
| Charitable organizations | – | $35M | 10% |
| Other investment advisers | – | $22M | 7% |
| Individuals | 46 | $15M | 4% |
| Pension and profit sharing plans | – | $12M | 4% |
| Corporations or other businesses | – | $4M | 1% |
| Other | – | $2M | <1% |
Disciplinary disclosures
Capital Ideas reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗cap-ideas.com ↗
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The full record on Capital Ideas
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 6,408 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Capital Ideas manage?
Capital Ideas reports $336 million in regulatory assets under management across 270 accounts, 99% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Capital Ideas?
Capital Ideas 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.
Who are Capital Ideas’s clients?
By assets, its largest client types are high-net-worth individuals ($246 million, 50 clients); charitable organizations ($35 million); other investment advisers ($22 million).
Does Capital Ideas have any disciplinary history?
Capital Ideas reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Capital Ideas’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 (2026-03-30), 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 →