{"url":"https://nivawealth.com/firms/capital-asset-management-284505","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/284505","regulatoryAum":208812237,"crd":"284505","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1538384","suffix":null,"lastName":"HICKEY","firstName":"MATTHEW","middleName":"DAVID"},{"crd":"6846572","suffix":null,"lastName":"Hume","firstName":"Chad","middleName":"Gregory"},{"crd":"2998705","suffix":null,"lastName":"Maslowski","firstName":"Joseph","middleName":"Charles"},{"crd":"2277081","suffix":null,"lastName":"OSBORNE-DAVIS","firstName":"KATHLEEN","middleName":"DIANE"}],"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":"2022-04-01","regulatoryAum":107262395,"clients":151,"employees":3,"offices":2},{"filedOn":"2023-07-07","regulatoryAum":120000000,"clients":184,"employees":3,"offices":3},{"filedOn":"2024-04-16","regulatoryAum":184070034,"clients":170,"employees":3,"offices":3},{"filedOn":"2025-03-28","regulatoryAum":189564727,"clients":160,"employees":3,"offices":3},{"filedOn":"2026-03-23","regulatoryAum":208812237,"clients":162,"employees":5,"offices":3}],"secFileNumber":"801-123577","legalName":"Capital Asset Management, LLC","displayName":"Capital Asset Management","slug":"capital-asset-management-284505","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1800 Glenarm Place, Suite 703","city":"Denver","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80202"},"tradeNames":[],"registration":{"secApproved":"5 April 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1081517.65,"staff":{"employees":5,"advisory":4,"brokerDealerReps":2,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":208812237,"discretionary":173042824,"discretionaryAccounts":338,"nonDiscretionary":35769413,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":114,"regulatoryAum":30157865},{"label":"High-net-worth individuals","clients":46,"regulatoryAum":142884959},{"label":"Pension and profit-sharing plans","clients":2,"fewerThan5":true,"regulatoryAum":35769413}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023990","versionId":1023990,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-23","documentName":"CAPITAL ASSET MGMT - FORM ADV PART 2A BROCHURE - MARCH 2025","fee_rate_low":0.75,"fee_rate_high":0.95,"fee_negotiable":true,"minimum_account":500000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"ERISA Plan Services","summary":"ERISA plan fees are negotiable, charged as a percentage of included assets or a flat fee, and the annual fee does not exceed 1%.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023990","versionId":1023990,"submittedOn":"2026-03-23","documentName":"CAPITAL ASSET MGMT - FORM ADV PART 2A BROCHURE - MARCH 2025"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:31:14.820239+00:00","documents":[{"name":"CAPITAL ASSET MGMT - FORM ADV PART 2A BROCHURE - MARCH 2025","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023990","versionId":1023990,"submittedOn":"2026-03-23"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":151554000},{"name":"JPMorgan Chase Bank, N.A","shortName":"J.P. Morgan","location":"Columbus, OH","smaAssets":21532057}],"custodyNote":"Capital Asset Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Matthew Hickey","title":"Managing Member (Sole)/Chief Compliance Officer","crd":"1538384"}],"ownership":[{"label":"Matthew Hickey","detail":"Managing member (sole)/chief compliance officer in the 75% or more ownership band and a control person, since July 2016."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"1800 Glenarm Place, Suite 703","city":"Denver","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"303-832-7770","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":71},{"label":"U.S. government/agency bonds","percent":8},{"label":"U.S. state and local bonds","percent":10},{"label":"Investment grade corporate bonds","percent":1},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"23 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/284505/PDF/284505.pdf","brochureDate":"23 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023990","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 Asset Management have?","answer":"Capital Asset Management has 162 clients and manages $209 million for them, as of March 2026. They include 114 individual clients, 46 high-net-worth individuals, and 2 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Capital Asset Management offer?","answer":"Capital Asset Management provides portfolio management for individuals and small businesses, 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":"How much does Capital Asset Management charge?","answer":"Capital Asset Management charges 0.75%–0.95% a year for its Asset Management. The fee is billed in advance, is negotiable and requires an account of at least $500,000.","source":"CAPITAL ASSET MGMT - FORM ADV PART 2A BROCHURE - MARCH 2025, filed 23 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Capital Asset Management use?","answer":"Capital Asset Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $152M and JPMorgan Chase Bank, N.A (Columbus, OH), with $21.5M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Capital Asset Management have?","answer":"Capital Asset Management has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. 2 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 Asset Management invest in?","answer":"At the end of its last fiscal year, Capital Asset Management’s separately managed accounts held 71% exchange-traded equities, 10% state and local bonds, 10% cash and equivalents, 8% U.S. government and agency bonds 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":"Does Capital Asset Management have a minimum investment?","answer":"Yes, Capital Asset Management’s minimum account size for its Asset Management is $500K.","source":"CAPITAL ASSET MGMT - FORM ADV PART 2A BROCHURE - MARCH 2025, filed 23 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Capital Asset Management?","answer":"Capital Asset Management’s direct owner is Matthew Hickey (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Capital Asset Management get paid?","answer":"Capital Asset Management is paid through a percentage of assets under management and fixed fees. 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 Asset Management?","answer":"Capital Asset Management’s main office is at 1800 Glenarm Place, Suite 703, Denver, CO 80202. Its phone number is 303-832-7770.","source":"Form ADV Part 1A, Item 1.F, filed 23 March 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."}