{"url":"https://nivawealth.com/firms/capital-consulting-and-asset-management-41438","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/41438","regulatoryAum":218676079,"crd":"41438","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7852099","suffix":null,"lastName":"Nixon","firstName":"Carly","middleName":null},{"crd":"865645","suffix":null,"lastName":"Nixon","firstName":"Robert","middleName":null},{"crd":"5536850","suffix":null,"lastName":"Roemer","firstName":"Amber","middleName":null}],"total":3,"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":"2021-03-23","regulatoryAum":260255897,"clients":145,"employees":5,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":278531997,"clients":145,"employees":5,"offices":1},{"filedOn":"2023-03-29","regulatoryAum":265500701,"clients":140,"employees":6,"offices":1},{"filedOn":"2024-03-29","regulatoryAum":296326030,"clients":156,"employees":7,"offices":1},{"filedOn":"2025-06-25","regulatoryAum":182163713,"clients":170,"employees":7,"offices":1},{"filedOn":"2026-03-24","regulatoryAum":218676079,"clients":180,"employees":8,"offices":1}],"secFileNumber":"801-52357","legalName":"Capital Consulting & Asset Management, Inc.","displayName":"Capital Consulting & Asset Management","slug":"capital-consulting-and-asset-management-41438","website":"https://ccam.net/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/41438/d54e333cf5017d81-r1.webp","tone":"light","width":638,"height":200,"sourceUrl":"https://www.ccam.net/","sourceLabel":"Capital Consulting & Asset Management, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1996","organization":"Nebraska corporation","fiscalYearEnd":"December","headquarters":{"street":"140 N. 8th Street, 410 the Apothecary","city":"Lincoln","state":"NE","stateName":"Nebraska","country":"United States","postalCode":"68508"},"tradeNames":[],"registration":{"secApproved":"3 July 1996","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1214867.1055555556,"staff":{"employees":8,"advisory":3,"brokerDealerReps":1,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":218676079,"discretionary":218676079,"discretionaryAccounts":1988,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":95,"regulatoryAum":115898322},{"label":"High-net-worth individuals","clients":85,"regulatoryAum":102777757}],"feePrograms":[{"role":"main","program":"Investment Management Fees","feeBasis":"marginal","fee_tiers":[{"to":150000,"pct":1.5,"from":0},{"to":250000,"pct":1.25,"from":150000},{"to":500000,"pct":1.15,"from":250000},{"to":1000000,"pct":1,"from":500000},{"to":null,"pct":0.9,"from":1000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024575","versionId":1024575,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-24","documentName":"CAPITAL CONSULTING & ASSET MANAGEMENT","fee_rate_low":0.9,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning and Consulting","summary":"Financial planning and consulting fees are billed at an hourly rate of $200 to $400 and may be negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024575","versionId":1024575,"submittedOn":"2026-03-24","documentName":"CAPITAL CONSULTING & ASSET MANAGEMENT"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T11:42:03.099767+00:00","documents":[{"name":"CAPITAL CONSULTING & ASSET MANAGEMENT","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024575","versionId":1024575,"submittedOn":"2026-03-24"}]},"custodians":[{"name":"Fidelity Investments","shortName":"Fidelity","location":"Covington, KY","smaAssets":210465652}],"custodyNote":"Capital Consulting & Asset Management does not have custody of client assets.","leadership":[{"name":"Robert Nixon","title":"President & Chief Compliance Officer","crd":"865645"}],"ownership":[{"label":"Robert Nixon","detail":"President & chief compliance officer in the 75% or more ownership band and a control person, since May 1996."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Nebraska","offices":1,"addresses":[{"street":"140 N. 8th Street, 410 the Apothecary","city":"Lincoln","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"402-477-2500","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","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":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":20},{"label":"U.S. state and local bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":63},{"label":"Cash and cash equivalents","percent":7},{"label":"Other","percent":8,"detail":"Units"}],"privateFunds":0},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/41438/PDF/41438.pdf","brochureDate":"24 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024575","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 Consulting & Asset Management have?","answer":"Capital Consulting & Asset Management has 180 clients and manages $219 million for them, as of March 2026. They include 95 individual clients and 85 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Capital Consulting & Asset Management offer?","answer":"Capital Consulting & Asset Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, education planning, estate planning, insurance, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Capital Consulting & Asset Management charge?","answer":"Capital Consulting & Asset Management charges 0.90%–1.50% a year for its Investment Management Fees. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"CAPITAL CONSULTING & ASSET MANAGEMENT, filed 24 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Capital Consulting & Asset Management use?","answer":"Capital Consulting & Asset Management’s separately managed account assets are held at Fidelity Investments (Covington, KY), with $210M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Capital Consulting & Asset Management have?","answer":"Capital Consulting & Asset Management has 3 investment adviser representatives registered with state securities authorities, out of 8 employees, and 3 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 3 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 Consulting & Asset Management invest in?","answer":"At the end of its last fiscal year, Capital Consulting & Asset Management’s separately managed accounts held 63% registered funds (mutual funds, ETFs, BDCs), 20% exchange-traded equities, 8% other, 7% cash and equivalents and 2% state and local bonds. The 8% other category is described as: Units.","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 Consulting & Asset Management?","answer":"Capital Consulting & Asset Management’s direct owner is Robert Nixon (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Capital Consulting & Asset Management get paid?","answer":"Capital Consulting & Asset Management 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":"Is Capital Consulting & Asset Management registered with the SEC?","answer":"Yes, Capital Consulting & Asset Management has been registered with the SEC as an investment adviser since 3 July 1996. Its CRD number is 41438 and its SEC file number is 801-52357.","source":"Form ADV Part 1A, Item 1, filed 24 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Capital Consulting & Asset Management?","answer":"Capital Consulting & Asset Management’s main office is at 140 N. 8th Street, 410 the Apothecary, Lincoln, NE 68508. Its phone number is 402-477-2500. Its website is ccam.net.","source":"Form ADV Part 1A, Item 1.F, filed 24 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."}