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CAPITAL MARKETS IQ, LLC
CRD 134921File 801-69992
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jul 28, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$571.4M
Above cohort median (national)
Discretionary AUM
$455.6M
Non-discretionary $115.9M
Clients
884
884 accounts
Employees
23
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Apr 3, 2009
- Principal office
- Not reported
- Phone
- 310.882.6380
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $571.4M
- Discretionary AUM
- $455.6M
- Non-discretionary AUM
- $115.9M
- Discretionary accounts
- 739
- Non-discretionary accounts
- 145
- Total accounts
- 884
- AUM per client
- $646K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 78 | $121.1M |
| Charitable organizations | 7 | $1.6M |
| High net worth individuals | 91 | $223.7M |
| Pension and profit sharing plans | 101 | $83.5M |
| Individuals (other than high net worth individuals) | 607 | $141.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11E2
- Q11E4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 26 | 23 | decreased by3 |
| Apr 1, 2026 | Clients | 827 | 884 | increased by57 |
| Apr 1, 2026 | AUM | $450,873,705 | $571,446,571 | increased by$120,572,866 |
| Apr 1, 2026 | Accounts | 827 | 884 | increased by57 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 24 | 26 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 634 | 827 | increased by193 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $283,400,000 | $450,873,705 | increased by$167,473,705 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 634 | 827 | increased by193 |
| Apr 1, 2022 | Clients | 525 | 634 | increased by109 |
| Apr 1, 2022 | AUM | $257,343,000 | $283,400,000 | increased by$26,057,000 |
| Apr 1, 2022 | Accounts | 525 | 634 | increased by109 |
| Sep 1, 2021 | Employees | 23 | 24 | increased by1 |
| May 1, 2021 | Employees | 25 | 23 | decreased by2 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CAPITAL MARKETS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CAPITAL MARKETS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.