{"url":"https://nivawealth.com/firms/collegiate-capital-management-118205","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/118205","regulatoryAum":652988757,"crd":"118205","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4737732","suffix":null,"lastName":"CAPPS","firstName":"CORY","middleName":"BRANDON"},{"crd":"5492099","suffix":null,"lastName":"SIGMON","firstName":"DANIEL","middleName":"CARSON"},{"crd":"2401700","suffix":"DR.","lastName":"SIGMON","firstName":"TONY","middleName":"WAYNE"},{"crd":"2205241","suffix":null,"lastName":"WALKER","firstName":"DEREK","middleName":"GRANT"}],"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":"2021-03-25","regulatoryAum":439233991,"clients":318,"employees":9,"offices":4},{"filedOn":"2022-06-02","regulatoryAum":499078220,"clients":335,"employees":9,"offices":4},{"filedOn":"2023-07-26","regulatoryAum":428104570,"clients":373,"employees":8,"offices":4},{"filedOn":"2024-03-21","regulatoryAum":498608010,"clients":389,"employees":8,"offices":4},{"filedOn":"2025-03-25","regulatoryAum":582341286,"clients":416,"employees":8,"offices":1},{"filedOn":"2026-03-12","regulatoryAum":652988757,"clients":446,"employees":8,"offices":1}],"secFileNumber":"801-64622","legalName":"Collegiate Capital Management, Inc.","displayName":"Collegiate Capital Management","slug":"collegiate-capital-management-118205","website":"https://collegiatecapitalmanagement.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/118205/aae63d8a45a9edb3-r1.webp","tone":"light","width":1074,"height":200,"sourceUrl":"https://collegiatecapital.com/","sourceLabel":"Collegiate Capital Management, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/collegiate-capital-management-inc-/","xUrl":"https://www.twitter.com/collegiatecap","founded":"1994","organization":"North Carolina corporation","fiscalYearEnd":"December","headquarters":{"street":"214 New Bern Place","city":"Raleigh","state":"NC","stateName":"North Carolina","country":"United States","postalCode":"27601"},"tradeNames":[],"registration":{"secApproved":"1 September 2005","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1454322.4908675798,"staff":{"employees":8,"advisory":4,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":652988757,"discretionary":608422198,"discretionaryAccounts":1868,"nonDiscretionary":44566559,"nonDiscretionaryAccounts":124,"wrapProgram":492954497,"nonUsClientsPct":1,"nonAumClients":11},"clientTypes":[{"label":"Individuals (other than HNW)","clients":234,"regulatoryAum":84409729},{"label":"High-net-worth individuals","clients":204,"regulatoryAum":552583522},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":3506274},{"label":"Corporations and other businesses","clients":8,"regulatoryAum":12489232}],"feePrograms":[{"role":"main","program":"Customized Investment Advice","feeBasis":"whole_balance","fee_tiers":[{"to":100000,"pct":2.25,"from":0},{"to":250000,"pct":1.75,"from":100000},{"to":500000,"pct":1.5,"from":250000},{"to":1000000,"pct":1.25,"from":500000},{"to":3000000,"pct":1,"from":1000000},{"to":5000000,"pct":0.9,"from":3000000},{"to":10000000,"pct":0.8,"from":5000000},{"to":null,"pct":0.75,"from":10000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017787","versionId":1017787,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-12","documentName":"COLLEGIATE CAPITAL MANAGEMENT, INC. FORM ADV PART 2 BROCHURE","fee_rate_low":0.75,"fee_rate_high":2.25,"fee_negotiable":false,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Retirement Plan Services","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017787","versionId":1017787,"submittedOn":"2026-03-12","documentName":"COLLEGIATE CAPITAL MANAGEMENT, INC. FORM ADV PART 2 BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T06:22:16.708941+00:00","documents":[{"name":"COLLEGIATE CAPITAL MANAGEMENT, INC. FORM ADV PART 2 BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017787","versionId":1017787,"submittedOn":"2026-03-12"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017788","versionId":1017788,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":490142578},{"name":"Tiaa-Cref Individual & Institutional Services, LLC","shortName":"Tiaa-Cref Individual & Institutional Services","location":"New York, NY","smaAssets":107936613}],"custodyNote":"Collegiate Capital Management has custody of $183M for 208 clients.","otherCustodians":[],"leadership":[{"name":"Tony Sigmon","title":"President,chief Compliance Officer","crd":"2401700"},{"name":"Erin Capps","title":"Chief Operating Officer and Director of Compliance","crd":"5243456"}],"ownership":[{"label":"Tony Sigmon","detail":"President,chief compliance officer in the 75% or more ownership band and a control person, since July 1994."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":1,"addresses":[{"street":"214 New Bern Place","city":"Raleigh","headquarters":true}]}],"brochureServices":["insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"919-838-0101","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":8},{"label":"U.S. government/agency bonds","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":53},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":5},{"label":"Other","percent":28,"detail":"Market Linked Structured Notes (24%), Fixed Accounts (4%), Fdic Insured CDS (0.13%)"}],"privateFunds":0},"sources":{"adv1FilingDate":"12 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/118205/PDF/118205.pdf","brochureDate":"12 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017787","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 Collegiate Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Collegiate Capital Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Collegiate Capital Management charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Collegiate Capital Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Collegiate Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Collegiate Capital Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Collegiate Capital Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Collegiate Capital Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Collegiate Capital Management?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 12 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."}