{"url":"https://nivawealth.com/firms/capital-advisers-118442","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/118442","regulatoryAum":620000000,"crd":"118442","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7117274","suffix":null,"lastName":"Bockhorst","firstName":"Matthew","middleName":null},{"crd":"2167221","suffix":null,"lastName":"GAUGERT","firstName":"DANIEL","middleName":"MARK"},{"crd":"811156","suffix":null,"lastName":"NASH","firstName":"RANDOLPH","middleName":"MCCRAVEN"},{"crd":"5276176","suffix":null,"lastName":"WILSON","firstName":"STEVEN","middleName":"BLAIR"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-04-01","regulatoryAum":368100000,"clients":552,"employees":4,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":431219396,"clients":575,"employees":2,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":360000000,"clients":629,"employees":2,"offices":1},{"filedOn":"2024-03-13","regulatoryAum":560000000,"clients":649,"employees":3,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":503514000,"clients":651,"employees":5,"offices":1},{"filedOn":"2026-01-28","regulatoryAum":620000000,"clients":723,"employees":5,"offices":1}],"secFileNumber":"801-63487","legalName":"Capital 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2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1003914","versionId":1003914,"submittedOn":"2026-01-26"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=969032","versionId":969032,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=887424","versionId":887424,"submittedOn":null}]},"custodians":[{"name":"E*trade Securities LLC","shortName":"E*trade Securities","location":"Omaha, NE","smaAssets":30000000},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":235000000}],"custodyNote":"Capital Advisers does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"William Rollinson","title":"Principal and Executive Vice President","crd":"7359297"},{"name":"Steven Wilson","title":"Owner, President, Chief Investment Officer, Chief Compliance Officer","crd":"5276176"}],"ownership":[{"label":"Steven Wilson","detail":"Owner, president, chief investment officer, chief compliance officer in the 75% or more ownership band and a control person, since January 2022."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":1,"addresses":[{"street":"100 East Six Forks Road, Suite 250","city":"Raleigh","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"919-865-1930","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":20},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":2},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":60},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":12},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"28 January 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/118442/PDF/118442.pdf","brochureDate":"26 January 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1003914","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 Capital Advisers have?","answer":"Capital Advisers has 723 clients and manages $620 million for them, as of January 2026. They include 550 individual clients, 85 pension and profit-sharing plans, and 60 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 January 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Capital Advisers offer?","answer":"Capital Advisers provides portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, 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":"Which custodians does Capital Advisers use?","answer":"Capital Advisers’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $235M and E*trade Securities LLC (Omaha, NE), with $30M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 January 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Capital Advisers have?","answer":"Capital Advisers has 1 investment adviser representative registered with state securities authorities, out of 5 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are 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 Capital Advisers invest in?","answer":"At the end of its last fiscal year, Capital Advisers’ separately managed accounts held 60% registered funds (mutual funds, ETFs, BDCs), 20% exchange-traded equities, 12% pooled vehicles (private funds and similar), 2% investment grade corporate bonds, 2% high-yield corporate bonds, 2% cash and equivalents, 1% U.S. government and agency bonds and 1% state and local 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":"Who owns Capital Advisers?","answer":"Capital Advisers’ direct owner is Steven Wilson (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 28 January 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Capital Advisers get paid?","answer":"Capital Advisers is paid through a percentage of assets under management and hourly charges. 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 Capital Advisers?","answer":"Capital Advisers’ main office is at 100 East Six Forks Road, Suite 250, Raleigh, NC 27609. Its phone number is 919-865-1930.","source":"Form ADV Part 1A, Item 1.F, filed 28 January 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."}