{"url":"https://nivawealth.com/firms/capital-markets-iq-134921","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/134921","regulatoryAum":571446571,"crd":"134921","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1022014","suffix":null,"lastName":"ALINIKOFF","firstName":"STEPHEN","middleName":"MAYNARD"},{"crd":"6937240","suffix":null,"lastName":"Bright","firstName":"Jason","middleName":"Lawrence"},{"crd":"6359561","suffix":null,"lastName":"CHASE","firstName":"THOMAS","middleName":"MATTHEW"},{"crd":"67338","suffix":null,"lastName":"DICKERSON","firstName":"MICHAEL","middleName":"GREGORY"},{"crd":"6789313","suffix":null,"lastName":"JOHNSON","firstName":"IAN","middleName":"MATTHEW"},{"crd":"5606630","suffix":null,"lastName":"JORGENSEN","firstName":"ADAM","middleName":"STEVEN"},{"crd":"865963","suffix":null,"lastName":"LAWTON","firstName":"WILLIAM","middleName":"JOHN 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Also trustee of LCM/HPW Trust and a control person, since January 2013."},{"label":"Penelope Turnbow","detail":"Indirect owner: a member of Extensor Capital N.A., LLC in the 50% to 75% band and a control person, since December 2007.","parent":"Extensor Capital N.A., LLC"},{"label":"Matthew Rabinowitz","detail":"Indirect owner: a member of Extensor Capital N.A., LLC in the 50% to 75% band and a control person, since December 2007.","parent":"Extensor Capital N.A., LLC"}],"filedOffices":{"otherThanPrincipal":18,"privateResidences":12},"listedOfficeAddresses":7,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"1520 E Covell BLVD","city":"Davis"}]},{"state":"Florida","offices":2,"addresses":[{"street":"4440 Pga Boulevard","city":"Palm Beach Gardens"},{"street":"5308 Central Ave","city":"St. Petersburg"}]},{"state":"Georgia","offices":1,"addresses":[{"street":"100 Main St SW","city":"Gainesville"}]},{"state":"Michigan","offices":1,"addresses":[{"street":"24555 Southfield Road","city":"Southfield"}]},{"state":"New York","offices":1,"addresses":[{"street":"200 Broadhollow Road","city":"Melville"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"310-882-6380","stateRegisteredReps":19,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":30},{"label":"U.S. government/agency bonds","percent":6},{"label":"U.S. state and local bonds","percent":2},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":27},{"label":"Cash and cash equivalents","percent":18},{"label":"Other","percent":15,"detail":"Real Estate, Alternative Investments, Variable Annuities, Private Loans, Venture Capital, Private Equity, Oil & Gas"}],"privateFunds":0},"sources":{"adv1FilingDate":"28 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/134921/PDF/134921.pdf","brochureDate":"25 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025854","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-26","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Capital Markets IQ have?","answer":"Capital Markets IQ has 884 clients and manages $571 million for them, as of July 2026. They include 607 individual clients, 101 pension and profit-sharing plans, and 91 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Capital Markets IQ offer?","answer":"Capital Markets IQ provides financial planning, 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 Capital Markets IQ charge?","answer":"Capital Markets IQ charges up to 2.80% for its Retail investment advisory. The brochure does not state whether the rate is annual. The fee is billed in arrears, is negotiable and requires an account of at least $100,000.","source":"FIRM BROCHURE MARCH 2026, filed 25 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Capital Markets IQ use?","answer":"Capital Markets IQ’s separately managed account assets are held at SEI Investments Distribution Co. (Oaks, PA), with $225M and Charles Schwab & Co., Inc. (San Francisco, CA), with $165M. 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 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Capital Markets IQ have?","answer":"Capital Markets IQ has 19 investment adviser representatives registered with state securities authorities, out of 23 employees, and 20 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 5 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 Markets IQ invest in?","answer":"At the end of its last fiscal year, Capital Markets IQ’s separately managed accounts held 30% exchange-traded equities, 27% registered funds (mutual funds, ETFs, BDCs), 18% cash and equivalents, 15% other, 6% U.S. government and agency bonds, 2% state and local bonds and 1% investment grade corporate bonds. The 15% other category is described as: Real Estate, Alternative Investments, Variable Annuities, Private Loans, Venture Capital, Private Equity, Oil & Gas.","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 Markets IQ have a minimum investment?","answer":"Yes, Capital Markets IQ’s minimum account size for its Retail investment advisory is $100K.","source":"FIRM BROCHURE MARCH 2026, filed 25 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Capital Markets IQ?","answer":"Capital Markets IQ is owned through a holding company by Penelope Turnbow and Matthew Rabinowitz. Its direct owners are Extensor Capital N.A., LLC (25% to 50%), LCM/HPW Trust (50% to 75%) and Kenneth Wiseman (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 28 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Capital Markets IQ get paid?","answer":"Capital Markets IQ is paid through a percentage of assets under management, hourly charges, fixed fees and performance-based fees. Its Form ADV lists no commissions 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 Markets IQ registered with the SEC?","answer":"Yes, Capital Markets IQ has been registered with the SEC as an investment adviser since 3 April 2009. Its CRD number is 134921 and its SEC file number is 801-69992.","source":"Form ADV Part 1A, Item 1, filed 28 July 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Capital Markets IQ?","answer":"Its phone number is 310-882-6380. Its website is capitalmarketsiq.com.","source":"Form ADV Part 1A, Item 1.F, filed 28 July 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."}