Wealth manager, independent · Raleigh, NC
Capital Investment Advisory Services, LLC
SEC-registered investment adviser · CRD 149124 · SEC 801-69846
At a glance
Capital Investment Advisory Services, LLC is an SEC-registered investment adviser based in Raleigh, North Carolina, with $2.4B in regulatory assets under management as of its Form ADV filed March 12, 2026. It reports 6,172 individual clients, 766 of them high-net-worth, holding an average of about $0.4 million each, and 91 employees. That ranks it 471st among the nation’s 5,657 independent wealth management RIAs and 9th of 160 in North Carolina. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and BNY Pershing.
Main office 919-831-2370capital-invest.comAs filed on Form ADV
- Regulatory AUM
- $2.4B
- Rank among independent wealth managers
- #471 of 5,657
- Rank among all SEC RIAs
- #3,268 of 17,210
- Rank in North Carolina
- #9 of 160
- Individual clients
- 6,172
- High-net-worth clients
- 766
- Accounts
- 9,862
- Discretionary
- 100% of AUM
- Employees
- 91
- Advisory staff
- 87
- Offices
- 40
Owners and executives on its Form ADV
- Richard K. BryantPresident and Treasurer
- Ronald L. KingChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Capital Investment Advisory Services, LLC is a hybrid RIA: 80 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Capital Investment Brokerage, Inc. and Capital Investment Group, Inc..
- Capital Investment Brokerage, Inc. ↗CRD 40657
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, July 2026
- Capital Investment Group, Inc. ↗CRD 14752
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
Its Form ADV brochure (filed March 2026) names Capital Investment Group and Capital Investment Brokerage as the broker-dealer its advisers are registered with.
Compensation for Sale of Securities or Other Investment Products IARs of CIAS may also be registered representatives of Capital Investment Group, Inc.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 766 | $1.3B | 56% |
| Individuals | 5,406 | $972M | 41% |
| Corporations or other businesses | 48 | $39M | 2% |
| Pension and profit sharing plans | 41 | $28M | 1% |
| Charitable organizations | 15 | $22M | <1% |
Disciplinary disclosures
Capital Investment Advisory Services, 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 ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗capital-invest.com ↗
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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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- 2 namedLocked
- Main office, fax and compliance officer
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in North Carolina
All of North Carolina →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Guardian Wealth Advisors, LLCRaleigh | $2.7B | 2,123 |
| Alphastar Capital ManagementCornelius | $2.5B | 8,466 |
| Cornerstone WealthHuntersville | $2.5B | 2,373 |
| Novare Capital ManagementCharlotte | $1.9B | 757 |
| Ally Invest AdvisorsCharlotte | $1.7B | 83,199 |
| Delegate Advisors, LLCChapel Hill | $1.7B | 42 |
Background
Questions
How much does Capital Investment Advisory Services, LLC manage?
Capital Investment Advisory Services, LLC reports $2.4B in regulatory assets under management across 9,862 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 12, 2026.
How many clients does Capital Investment Advisory Services, LLC have?
It reports 6,172 individual clients: 766 high-net-worth individuals and 5,406 other individuals. Individuals account for about 96% of its regulatory assets.
Where is Capital Investment Advisory Services, LLC headquartered?
Its main office is in Raleigh, North Carolina. It reports 40 offices in total and 91 employees, 87 of whom perform investment advisory functions.
How does Capital Investment Advisory Services, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Capital Investment Advisory Services, LLC use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and BNY Pershing. On Schedule D of its Form ADV filed March 12, 2026, it reports these amounts held: Charles Schwab ($867M); BNY Pershing ($850M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Capital Investment Advisory Services, LLC a hybrid RIA with a broker-dealer?
Capital Investment Advisory Services, LLC is a hybrid RIA: 80 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Capital Investment Brokerage, Inc. and Capital Investment Group, Inc.. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Capital Investment Advisory Services, LLC a fiduciary?
As an SEC-registered investment adviser, Capital Investment Advisory Services, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 80 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Capital Investment Advisory Services, 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 (2026-03-12), 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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →