{"url":"https://nivawealth.com/firms/lig-capital-management-130489","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/130489","regulatoryAum":250406715,"crd":"130489","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2934648","suffix":null,"lastName":"HUMPHREYS","firstName":"MARK","middleName":"ROUGH"},{"crd":"4154864","suffix":null,"lastName":"LORENZEN","firstName":"CHRIS","middleName":"JAMES"},{"crd":"5434412","suffix":null,"lastName":"MAHANAY","firstName":"JULIE","middleName":"MARIE"},{"crd":"5771702","suffix":null,"lastName":"MCCUAN","firstName":"STUART","middleName":"LEE"}],"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":"2022-05-19","regulatoryAum":127735703,"clients":254,"employees":4,"offices":1},{"filedOn":"2023-02-17","regulatoryAum":118389230,"clients":260,"employees":4,"offices":1},{"filedOn":"2024-07-30","regulatoryAum":148695591,"clients":297,"employees":4,"offices":1},{"filedOn":"2025-07-17","regulatoryAum":196764050,"clients":283,"employees":4,"offices":1},{"filedOn":"2026-07-06","regulatoryAum":250406715,"clients":416,"employees":4,"offices":1}],"secFileNumber":"801-125846","legalName":"Lig Capital Management, LLC","displayName":"LIG Capital Management","slug":"lig-capital-management-130489","website":"https://ligcam.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Oklahoma limited liability company","fiscalYearEnd":"December","headquarters":{"street":"3503 N.W. 63rd Street, Suite 100","city":"Oklahoma City","state":"OK","stateName":"Oklahoma","country":"United States","postalCode":"73116-2203"},"tradeNames":[],"registration":{"secApproved":"10 June 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participants.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040766","versionId":1040766,"submittedOn":"2026-04-08","documentName":"LIG ADV 2"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:04:24.268591+00:00","documents":[{"name":"LIG ADV 2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040766","versionId":1040766,"submittedOn":"2026-04-08"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":206418623},{"name":"Capital Bank & Trust Company","shortName":"Capital Bank & Trust","location":"Irvine, CA","smaAssets":3884476},{"name":"Security Benefit Life Insurance Company","shortName":"Security Benefit Life Insurance","location":"Topeka, KS","smaAssets":2397480},{"name":"Charles Schwab Trust Bank","shortName":"Charles Schwab","location":"Henderson, NV","smaAssets":36119273}],"custodyNote":"LIG Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Megan Brown","title":"Chief Compliance Officer","crd":"5260932"},{"name":"Mark Humphreys","title":"Member","crd":"2934648"},{"name":"Chris Lorenzen","title":"Member","crd":"4154864"},{"name":"Stuart McCuan","title":"Member","crd":"5771702"}],"ownership":[{"label":"Chris Lorenzen","detail":"Member in the 25% to 50% ownership band and a control person, since January 2004."},{"label":"Mark Humphreys","detail":"Member in the 25% to 50% ownership band and a control person, since January 2010."},{"label":"Stuart McCuan","detail":"Member in the 25% to 50% ownership band and a control person, since March 2022."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Oklahoma","offices":1,"addresses":[{"street":"3503 N.W. 63rd Street, Suite 100","city":"Oklahoma City","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"405-463-3334","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":41},{"label":"Securities issued by registered investment companies or business development companies","percent":55},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"6 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/130489/PDF/130489.pdf","brochureDate":"8 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040766","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 LIG Capital Management have?","answer":"LIG Capital Management has 416 clients and manages $250 million for them, as of July 2026. They include 341 individual clients, 65 high-net-worth individuals, and 7 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does LIG Capital Management offer?","answer":"LIG Capital Management provides financial planning and portfolio management for individuals and small businesses.","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 LIG Capital Management use?","answer":"LIG Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $206M, Charles Schwab Trust Bank (Henderson, NV), with $36.1M, Capital Bank & Trust Company (Irvine, CA), with $3.88M and Security Benefit Life Insurance Company (Topeka, KS), with $2.4M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 6 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does LIG Capital Management have?","answer":"LIG Capital Management has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 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 LIG Capital Management invest in?","answer":"At the end of its last fiscal year, LIG Capital Management’s separately managed accounts held 55% registered funds (mutual funds, ETFs, BDCs), 41% exchange-traded equities and 4% cash and equivalents.","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 LIG Capital Management?","answer":"LIG Capital Management’s direct owners are Chris Lorenzen, Mark Humphreys and Stuart McCuan, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 6 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does LIG Capital Management get paid?","answer":"LIG Capital Management is paid through a percentage of assets under management, hourly charges and fixed fees. 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 LIG Capital Management?","answer":"LIG Capital Management’s main office is at 3503 N.W. 63rd Street, Suite 100, Oklahoma City, OK 73116-2203. Its phone number is 405-463-3334. Its website is ligcam.com.","source":"Form ADV Part 1A, Item 1.F, filed 6 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."}