Collegiate Capital Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, insurance, philanthropic planning, and tax planning. Financial planning was provided to 251–500 clients last fiscal year.
Collegiate Capital Management reports 446 clients. They include 234 individual clients, 204 high-net-worth individuals, and 8 corporations and other businesses. Of its assets, 93.2% ($608M across 1,868 accounts) are managed with discretion; $44.6M across 124 accounts are not. A wrap fee program the firm both sponsors and manages holds $493M. Of its clients, 1% are outside the U.S. It advised 11 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 52% | 13% |
| High-net-worth individuals | 46% | 85% |
| Pension and profit-sharing plans | Fewer than 5 | <1% |
| Corporations and other businesses | 2% | 2% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 234 | $84.4M | 12.9% | $361K |
| High-net-worth individuals | 204 | $553M | 84.6% | $2.71M |
| Pension and profit-sharing plans | Fewer than 5 | $3.51M | 0.5% | — |
| Corporations and other businesses | 8 | $12.5M | 1.9% | $1.56M |
| Total | 446 | $653M | 100% | — |
- Clients
- 234
- Regulatory AUM
- $84.4M
- AUM share
- 12.9%
- Avg. per client
- $361K
- Clients
- 204
- Regulatory AUM
- $553M
- AUM share
- 84.6%
- Avg. per client
- $2.71M
- Clients
- Fewer than 5
- Regulatory AUM
- $3.51M
- AUM share
- 0.5%
- Avg. per client
- —
- Clients
- 8
- Regulatory AUM
- $12.5M
- AUM share
- 1.9%
- Avg. per client
- $1.56M
Total
- Clients
- 446
- Regulatory AUM
- $653M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 11
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Collegiate Capital Management charges 0.75%–2.25% a year for its Customized Investment Advice. The whole portfolio is charged at the rate of its band. The fee is billed in advance and is not negotiable. The brochure also prices one other service, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$100K | 2.25% |
| $100K–$250K | 1.75% |
| $250K–$500K | 1.50% |
| $500K–$1M | 1.25% |
| $1M–$3M | 1.00% |
| $3M–$5M | 0.90% |
| $5M–$10M | 0.80% |
| $10M and above | 0.75% |
Fee details and sources
Other fees
- Retirement Plan Services
- Retirement plan services carry a $2,000 start-up fee and an annual investment management fee of 0.5% of plan assets, with a $2,500 annual minimum.
Tony Sigmon owns 75% or more of Collegiate Capital Management. The leadership team of Collegiate Capital Management includes President Tony Sigmon and Chief Operating Officer Erin Capps. It has 8 employees, 4 of them in advisory roles.
Staff
- 8 employees
- 4 in advisory functions
- 4 state-registered reps
- 2 insurance agents
- Owns 75% or more of Collegiate Capital Management, Inc.
Tony Sigmon
Control person · since July 1994
Collegiate Capital Management’s regulatory assets grew from $439M (March 2021) to $653M (March 2026); clients rose from 318 to 446 and employees fell from 9 to 8.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $653M | 446 | 8 | 1 |
| Mar 2025March 2025 | $582M | 416 | 8 | 1 |
| Mar 2024March 2024 | $499M | 389 | 8 | 4 |
| Jul 2023July 2023 | $428M | 373 | 8 | 4 |
| Jun 2022June 2022 | $499M | 335 | 9 | 4 |
| Mar 2021March 2021 | $439M | 318 | 9 | 4 |
Besides its headquarters, Collegiate Capital Management has 0 offices, with 1 listed address in 1 state.
North Carolina · 1 listed address
- 214 New Bern Place, RaleighHQ
Contact and registration details
- Legal name
- Collegiate Capital Management, Inc.
- Headquarters
- 214 New Bern Place, Raleigh, NC 27601
- Phone
- 919-838-0101
- SEC file
- 801-64622
- Founded
- 1994
- Structure
- North Carolina corporation
- Fiscal year end
- December
Collegiate Capital Management’s named custodians for separately managed accounts are Charles Schwab ($490M, 82%) and Tiaa-Cref Individual & Institutional Services ($108M, 18%). Collegiate Capital Management has custody of $183M for 208 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $490M82%
- Tiaa-Cref Individual & Institutional ServicesTiaa-Cref Individual & Institutional Services, LLC · New York, NY · $108M18%
At year end, Collegiate Capital Management’s separately managed accounts were mostly in funds (54%).
What the accounts hold
- Stocks8%
- Funds54%
- Registered funds53%
- Pooled vehicles1%
- Bonds5%
- Cash5%
- Other28%
- Market linked structured notes (24%), fixed accounts (4%), fdic insured cds (0.13%)28%
How many clients does Collegiate Capital Management have?
Collegiate Capital Management has 446 clients and manages $653 million for them, as of March 2026. They include 234 individual clients, 204 high-net-worth individuals, and 8 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 12 March 2026
What services does Collegiate Capital Management offer?
Collegiate Capital Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, insurance, philanthropic planning, 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
How much does Collegiate Capital Management charge?
Collegiate Capital Management charges 0.75%–2.25% a year for its Customized Investment Advice. The whole portfolio is charged at the rate of its band. The fee is billed in advance and is not negotiable.
Source: COLLEGIATE CAPITAL MANAGEMENT, INC. FORM ADV PART 2 BROCHURE, filed 12 March 2026
Which custodians does Collegiate Capital Management use?
Collegiate Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $490M and Tiaa-Cref Individual & Institutional Services, LLC (New York, NY), with $108M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 March 2026
How many financial advisors does Collegiate Capital Management have?
Collegiate Capital Management has 4 investment adviser representatives registered with state securities authorities, out of 8 employees, and 4 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
What does Collegiate Capital Management invest in?
At the end of its last fiscal year, Collegiate Capital Management’s separately managed accounts held 53% registered funds (mutual funds, ETFs, BDCs), 28% other, 8% exchange-traded equities, 5% U.S. government and agency bonds, 5% cash and equivalents and 1% pooled vehicles (private funds and similar). The 28% other category is described as: Market Linked Structured Notes (24%), Fixed Accounts (4%), Fdic Insured CDS (0.13%).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Collegiate Capital Management?
Collegiate Capital Management’s direct owner is Tony Sigmon (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 12 March 2026
How does Collegiate Capital Management get paid?
Collegiate Capital 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
How do I contact Collegiate Capital Management?
Collegiate Capital Management’s main office is at 214 New Bern Place, Raleigh, NC 27601. Its phone number is 919-838-0101. Its website is collegiatecapitalmanagement.com.