Capital Ideas, Inc. (Dallas)

Name: Capital Ideas, Inc.
Address: 5950 Berkshire Lane #1060, Dallas, TX, 75225
Telephone: 214-750-4400

Capital Ideas, Inc. is a large advisory firm based in Dallas. It manages $172.8 million of regulatory assets for 138 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdiction of Texas.

Capital Ideas provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Capital Ideas: assets under management

The assets under management (AUM) of Capital Ideas, Inc. is $172.8 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 84% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $172.8 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.25 million each.

Investments

The firm invests in exchange traded securities the most. They account for 88% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 11% of the firm’s portfolio. Investments in investment grade corporate bonds form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Capital Ideas, Inc. for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Clifford John Brott serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Clifford John Brott is high net worth individuals with 66 clients and $157.9 million of assets under management. Among the 8 most similar advisory firms, Capital Ideas has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $165.3 million for 96 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Capital Ideas doesn't advise any private funds.

Careers at Capital Ideas, Inc.

The company employs 4 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Clifford John Brott has been acting as President since 1 Jun 2006. Steven Herbert Gendler joined the executive team most recently as the Senior Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Clifford John Brott	President	1 Apr 1984	50% - 75%	31829
Karen Rayburn Burns	Vp and chief compliance officer	1 Apr 1998	50% - 75%	2482528
Clifford John Brott	Chairman/ceo	1 Jun 2006	50% - 75%	31829
Karen Rayburn Burns	President/chief compliance officer	1 Jun 2006	25% - 50%	2482528
Charles Mccomber Best	Executive vp	1 Jun 2006	Other	20486
Steven Herbert Gendler	Senior vice president	1 Jan 2007	Other	1075091

Based in Dallas

The principal office where Capital Ideas, Inc. performs its advisory services is located at 5950 Berkshire Lane #1060, Dallas, TX 75225, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 214-750-4400 or by fax 214-466-1990. The normal business hours are 8:00am thru 4:30 pm on Monday - Friday. You can find more information about the New York firm at cap-ideas.com.