Wealth manager, independent
Capital Markets IQ, LLC
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
- Regulatory AUM
- $571M
- Rank among wealth managers
- #2,584 of 8,915
- Rank among all SEC RIAs
- #7,283 of 17,210
- Individual clients
- 698
- High-net-worth clients
- 91
- Accounts
- 884
- Discretionary
- 80% of AUM
- Employees
- 23
- Advisory staff
- 20
- Offices
- 19
Owners and executives on its Form ADV
- Kenneth N. WisemanPresident
- Penelope Y TurnbowChief Legal Officer & Chief Compliance Officer
- Anita B CarlinoController
- Kenneth N. WisemanTrustee
- Matthew V RabinowitzCEO
Custody and brokerage
Broker-dealer
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.
Who it serves
| 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% |
Disciplinary disclosures
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 ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗capitalmarketsiq.com ↗
AtlasMembers
The full record on Capital Markets IQ, LLC
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
- Locked
- Growth over one, three and five years
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- Rank against 5,074 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- 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 Markets IQ, LLC manage?
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.
What kind of firm is Capital Markets IQ, LLC?
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.
Who are Capital Markets IQ, LLC’s clients?
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).
Does Capital Markets IQ, LLC have any disciplinary history?
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.
Where these numbers come from
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 →