{"url":"https://nivawealth.com/firms/cargile-investment-management-116982","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/116982","regulatoryAum":394568839,"crd":"116982","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"730664","suffix":null,"lastName":"CARGILE","firstName":"MICKEY","middleName":"RAY"},{"crd":"1524626","suffix":"JR","lastName":"GAINES","firstName":"CHARLES","middleName":"ROSS"},{"crd":"730668","suffix":null,"lastName":"PARKER","firstName":"KEITH","middleName":"WAYNE"}],"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":"2021-03-25","regulatoryAum":235468567,"clients":248,"employees":3,"offices":1},{"filedOn":"2022-03-21","regulatoryAum":260705421,"clients":146,"employees":3,"offices":1},{"filedOn":"2023-03-22","regulatoryAum":281069829,"clients":129,"employees":3,"offices":1},{"filedOn":"2024-03-13","regulatoryAum":288624560,"clients":162,"employees":3,"offices":1},{"filedOn":"2025-03-10","regulatoryAum":383040142,"clients":164,"employees":3,"offices":1},{"filedOn":"2026-03-24","regulatoryAum":394568839,"clients":204,"employees":3,"offices":1}],"secFileNumber":"801-64513","legalName":"Cargile 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chief compliance officer in the 75% or more ownership band and a control person, since July 2001."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"415 West Wall Street, Suite 2200","city":"Midland","headquarters":true}]}],"brochureServices":["insurance"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"432-617-1394","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":16},{"label":"U.S. government/agency bonds","percent":8},{"label":"U.S. state and local bonds","percent":17},{"label":"Investment grade corporate bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":26},{"label":"Cash and cash equivalents","percent":30}],"privateFunds":0},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/116982/PDF/116982.pdf","brochureDate":"24 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024248","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 Cargile Investment Management have?","answer":"Cargile Investment Management has 204 clients and manages $395 million for them, as of March 2026. They include 138 individual clients, 58 high-net-worth individuals, and 7 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Cargile Investment Management offer?","answer":"Cargile Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for institutions, and insurance.","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 Cargile Investment Management charge?","answer":"Cargile Investment Management charges 0.10%–2.00% a year for its Portfolio Management Services. The fee is billed in arrears, is negotiable and has a $1,500 annual minimum.","source":"ADV PART 2A, filed 24 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Cargile Investment Management use?","answer":"Cargile Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $255M and National Financial Services LLC (Boston, MA), with $131M. 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 Cargile Investment Management have?","answer":"Cargile Investment Management has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 1 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Cargile Investment Management invest in?","answer":"At the end of its last fiscal year, Cargile Investment Management’s separately managed accounts held 30% cash and equivalents, 26% registered funds (mutual funds, ETFs, BDCs), 17% state and local bonds, 16% exchange-traded equities, 8% U.S. government and agency bonds and 3% 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":"Who owns Cargile Investment Management?","answer":"Cargile Investment Management’s direct owner is Mickey Cargile (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Cargile Investment Management get paid?","answer":"Cargile Investment Management 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 Cargile Investment Management?","answer":"Cargile Investment Management’s main office is at 415 West Wall Street, Suite 2200, Midland, TX 79701. Its phone number is 432-617-1394.","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."}