Capital Investment Management Inc.
- Regulatory AUM
- $75.9M
- Discretionary
- $0
- Clients
- 143
- Avg AUM / client
- $531K
- Accounts
- 301
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 127 | $24.4M | 32.1% |
| High net worth individuals | 16 | $51.3M | 67.5% |
| Corporations and other businesses | 0 | $251K | 0.33% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mulherin, Lillian, May | President | Dec 1994 (32y) | 75% or more | |
| Maureen Denise Mcshane | Chief Compliance Officer | May 2007 (19y) | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/25/2026 | 1.03 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: MEMBERSHIP CONTINUANCE ALLEGATION Status: Final Sanction Detail: REGISTRATION AS AN AGENT/REGISTERED REPRESENTATIVE OF LOMBARD SECURITIES INC. WAS GRANTED BY THE ASSOCIATION UPON THE APPROVAL OF THE SECURITIES AND EXCHANGE COMMISSION Summary: THE NASD IMPOSED CERTAIN SUPERVISORY RESTRICTIONS WITH RESPECT TO MY ACTIVITIES AS A REGISTERED REPRESENTATIVE/AGENT OF LOMBARD SECURITIES INC. AS A RESULT OF MY 19H1STATUS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Fidelity Brokerage Services $75.6M (100% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 25, 2026.
View current Form ADV (SEC/IAPD) ↗