{"url":"https://nivawealth.com/firms/douglas-capital-management-106262","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/106262","regulatoryAum":295184098,"crd":"106262","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2282806","suffix":null,"lastName":"DOUGLAS","firstName":"CHRISTOPHER","middleName":null},{"crd":"1470485","suffix":null,"lastName":"DOUGLAS","firstName":"JAMES","middleName":null},{"crd":"6280152","suffix":"II","lastName":"DOUGLAS","firstName":"JAMES","middleName":"ALEXANDER"}],"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":"2021-03-02","regulatoryAum":270812793,"clients":42,"employees":3,"offices":1},{"filedOn":"2022-03-01","regulatoryAum":273864458,"clients":43,"employees":3,"offices":1},{"filedOn":"2023-03-14","regulatoryAum":252876486,"clients":114,"employees":4,"offices":1},{"filedOn":"2024-02-27","regulatoryAum":271540292,"clients":111,"employees":4,"offices":1},{"filedOn":"2025-03-05","regulatoryAum":282486525,"clients":128,"employees":4,"offices":1},{"filedOn":"2026-03-16","regulatoryAum":295184098,"clients":112,"employees":4,"offices":1}],"secFileNumber":"801-10647","legalName":"Douglas Capital Management Inc","displayName":"Douglas Capital Management","slug":"douglas-capital-management-106262","website":"https://douglascapitalmanagement.com/","classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_wealth_manager","typeLabel":"OCIO / institutional wealth","feeDisclosure":"payment_only"},"founded":null,"organization":"Florida corporation","fiscalYearEnd":"December","headquarters":{"street":"4230 Pablo Professional Court, Suite 208","city":"Jacksonville","state":"FL","stateName":"Florida","country":"United States","postalCode":"32224"},"tradeNames":[],"registration":{"secApproved":"21 March 1975","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":555313.4907407408,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":295184098,"discretionary":295184098,"discretionaryAccounts":279,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":89,"regulatoryAum":18082871},{"label":"High-net-worth individuals","clients":19,"regulatoryAum":41890986},{"label":"Pension and profit-sharing plans","clients":3,"fewerThan5":true,"regulatoryAum":1290933},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":233919308}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Raymond James & Associates, Inc.","shortName":"Raymond James","location":"St. Petersburg, FL","smaAssets":293442924}],"custodyNote":"Douglas Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"James Douglas","title":"President","crd":"1470485"},{"name":"James Douglas","title":"Executive Vice-President","crd":"6280152"},{"name":"James Douglas","title":"Chief Compliance Officer","crd":"1470485"},{"name":"Christopher Douglas","title":"CEO/Chief Investment Officer","crd":"2282806"}],"ownership":[{"label":"James Douglas","detail":"President in the 25% to 50% ownership band and a control person, since December 2007. Also chief compliance officer in the 25% to 50% ownership band and a control person, since October 2004. Also executive vice-president in the 10% to 25% ownership band and a control person, since January 2022."},{"label":"Christopher Douglas","detail":"Ceo/chief investment officer in the 25% to 50% ownership band and a control person, since December 2007."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"4230 Pablo Professional Court, Suite 208","city":"Jacksonville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"904-285-7866","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":17},{"label":"U.S. government/agency bonds","percent":49},{"label":"U.S. state and local bonds","percent":4},{"label":"Investment grade corporate bonds","percent":19},{"label":"Securities issued by registered investment companies or business development companies","percent":6},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":4,"detail":"Preferred Stock, Reit and Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"16 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/106262/PDF/106262.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Douglas Capital Management have?","answer":"Douglas Capital Management has 112 clients and manages $295 million for them, as of March 2026. They include 89 individual clients, 19 high-net-worth individuals, and 3 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Douglas Capital Management offer?","answer":"Douglas Capital Management provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Douglas Capital Management use?","answer":"Douglas Capital Management’s separately managed account assets are held at Raymond James & Associates, Inc. (St. Petersburg, FL), with $293M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Douglas Capital Management have?","answer":"Douglas Capital Management has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 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 Douglas Capital Management invest in?","answer":"At the end of its last fiscal year, Douglas Capital Management’s separately managed accounts held 49% U.S. government and agency bonds, 19% investment grade corporate bonds, 17% exchange-traded equities, 6% registered funds (mutual funds, ETFs, BDCs), 4% state and local bonds, 4% other and 2% cash and equivalents. The 4% other category is described as: Preferred Stock, Reit and Annuities.","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 Douglas Capital Management?","answer":"Douglas Capital Management’s direct owners are James Douglas and Christopher Douglas, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Douglas Capital Management get paid?","answer":"Douglas 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 Douglas Capital Management?","answer":"Douglas Capital Management’s main office is at 4230 Pablo Professional Court, Suite 208, Jacksonville, FL 32224. Its phone number is 904-285-7866. Its website is douglascapitalmanagement.com.","source":"Form ADV Part 1A, Item 1.F, filed 16 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."}