Capital Management Strategies Financial Services, Inc. (Rockville)


Capital Management Strategies Financial Services, Inc. is a large advisory firm based in Rockville. It manages $2.65 billion of regulatory assets for 3,496 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of California, District of Columbia, Florida, and 6 other states.

Capital Management Strategies Financial Services provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, pension consulting services, and market timing services. 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 Management Strategies Financial Services: assets under management

The assets under management (AUM) of Capital Management Strategies Financial Services, Inc. is $2.65 billion. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Capital Management Strategies Financial Services, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Capital Management Strategies Financial Services, Inc.

Steven David Lockshin has been acting as President since 1 Jul 1998. Jason Daniel Meyer joined the executive team most recently as the Vice President.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Andrew Putterman President/cfo 1 May 1997 Other 3122891
David Robert Zier Vp/director of consulting group 1 Mar 1998 Other 4338774
Inc. Cms Financial Holdings Parent corporation 1 Jul 1998 75% - 100% 52-1869995
Steven David Lockshin Ceo/director 1 Jul 1998 Other 1557803
Matthew Eric Peterson Vp of investment management 1 Jul 1998 Other 3122896
Stephen Carson Wilhoit Director 1 Jan 2001 Other 4452085
Andrew Putterman Coo/cfo/president/director 1 May 2001 Other 3122891
Jason Daniel Meyer Vice president 1 Jan 2002 Other 4263102
Brian Russell Vowinkel Vice president 1 Jan 2002 Other 4263104

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. 1st Virtual Parent corporation 1 Jan 2001 75% - 100% 65-0916372
Lydian Trust Company Parent corporation 1 Jan 2001 75% - 100% 65-0916372

Based in Rockville

The principal office where Capital Management Strategies Financial Services, Inc. performs its advisory services is located at 2600 Tower Oaks Boulevard, Rockville, MD 20852, which is also the mailing address of the firm. An additional office of the firm is in Kirkland, WA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 301-770-6300 or by fax 301-770-5991. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.cmsfs.com.