{"url":"https://nivawealth.com/firms/ask-capital-investment-managers-287711","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/287711","regulatoryAum":110445880,"crd":"287711","secFileNumber":"801-137369","legalName":"Ask Capital Investment Managers, LLC","displayName":"Ask Capital Investment Managers","slug":"ask-capital-investment-managers-287711","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Texas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"600 S. Tyler St., Ste. 1515","city":"Amarillo","state":"TX","stateName":"Texas","country":"United States","postalCode":"79101"},"tradeNames":[],"registration":{"secApproved":"25 September 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1104458.8,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":110445880,"discretionary":110445880,"discretionaryAccounts":151,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":331337640,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":77,"regulatoryAum":22117161},{"label":"High-net-worth individuals","clients":23,"regulatoryAum":88328719}],"feePrograms":[{"role":"main","program":"ASK Wrap Fee Program","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055822","versionId":1055822,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-08-24","documentName":"WRAP BROCHURE","fee_rate_low":1,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:43:00.683068+00:00","documents":[{"name":"WRAP BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055822","versionId":1055822,"submittedOn":"2026-08-24"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055821","versionId":1055821,"submittedOn":null}]},"custodians":[],"custodyNote":"Ask Capital Investment Managers does not have custody of client assets.","otherCustodians":[],"leadership":[],"ownership":[],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"600 S. Tyler St., Ste. 1515","city":"Amarillo","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"806-322-7526","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":94},{"label":"U.S. government/agency bonds","percent":3},{"label":"Investment grade corporate bonds","percent":1},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"27 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/287711/PDF/287711.pdf","brochureDate":"24 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055822","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Ask Capital Investment Managers have?","answer":"Ask Capital Investment Managers has 100 clients and manages $110 million for them, as of August 2026. They include 77 individual clients and 23 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ask Capital Investment Managers offer?","answer":"Ask Capital Investment Managers provides portfolio management for individuals and small businesses and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Ask Capital Investment Managers charge?","answer":"Ask Capital Investment Managers charges 1.00%–2.00% a year for its ASK Wrap Fee Program. The fee is billed in arrears and is negotiable.","source":"WRAP BROCHURE, filed 24 August 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Ask Capital Investment Managers have?","answer":"Ask Capital Investment Managers has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Ask Capital Investment Managers invest in?","answer":"At the end of its last fiscal year, Ask Capital Investment Managers’ separately managed accounts held 94% exchange-traded equities, 3% U.S. government and agency bonds, 2% cash and equivalents and 1% investment grade corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How does Ask Capital Investment Managers get paid?","answer":"Ask Capital Investment Managers is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Ask Capital Investment Managers?","answer":"Ask Capital Investment Managers’ main office is at 600 S. Tyler St., Ste. 1515, Amarillo, TX 79101. Its phone number is 806-322-7526.","source":"Form ADV Part 1A, Item 1.F, filed 27 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}