Capital Markets Iq, Llc
- Regulatory AUM
- $571M
- Discretionary
- $456M
- Clients
- 884
- Avg AUM / client
- $646K
- Accounts
- 884
- Employees
- 23
AUM over time
Annual snapshots from Form ADV filings · as of Jul 28, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 607 | $142M | 24.8% |
| High net worth individuals | 91 | $224M | 39.2% |
| Pension and profit sharing plans | 101 | $83.5M | 14.6% |
| Charitable organizations | 7 | $1.6M | 0.27% |
| Corporations and other businesses | 78 | $121M | 21.2% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Intratek Computer, Inc 401(k) Profit Sharing Plan Intratek Computer, Inc. | Vista, CA | 2024 |
| Professional Health Care Of Pi 401(k) Profit Sharing Plan & Trust Professional Health Care Of Pi | 2024 |
People (21)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kenneth Nelson Wiseman | President | Nov 2005 (21y) | Less than 5% | |
| Turnbow, Penelope, Y | Chief Legal Officer & Chief Compliance Officer | Dec 2007 (19y) | ≈ 18.75% – 50% via Extensor Capital N.A., Llc | |
| Carlino, Anita, B | Controller | Mar 2020 (6y) | Less than 5% | |
| Adam Steven Jorgensen | Registered representative | Aug 2016 (10y) | ||
| Thomas Mitchel Marshburn | Registered representative | Sep 2016 (10y) | ||
| Michael Gregory Dickerson | Registered representative | Jul 2017 (9y) | ||
| Jason Daniel Sayles | Registered representative | Sep 2017 (9y) | ||
| Stephen Maynard Alinikoff | Registered representative | Nov 2017 (9y) | ||
| William W. Peng | Registered representative | Oct 2020 (6y) | ||
| Daniel Eric Millman | Registered representative | Apr 2021 (5y) | ||
| Timothy Gerard Valik | Registered representative | Aug 2021 (5y) | ||
| Ian Matthew Johnson | Registered representative | May 2022 (4y) | ||
| Jason Lawrence Bright | Registered representative | Nov 2022 (4y) | ||
| Michael H. Simms | Registered representative | Jul 2023 (3y) | ||
| David Mirkin | Registered representative | Feb 2025 (1y) | ||
| Zachary Ryan Wooten | Registered representative | CFP | Apr 2025 (1y) | |
| Lawrence Fernandes Pereira | Registered representative | Aug 2025 (1y) | ||
| Matthew V Rabinowitz | Registered representative | Sep 2025 (1y) | ||
| William John Penson Lawton | Registered representative | Dec 2025 (1y) | ||
| Thomas Matthew Chase | Registered representative | Dec 2025 (1y) | ||
| Robert Alan Schreiber | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Lcm/Hpw Trust | Member | Jan 2013 | A | 50% – 75% |
| Extensor Capital N.A., Llc | Member | Jan 2009 | A | 25% – 50% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Turnbow, Penelope, Y: 75% – 100% of Extensor Capital N.A., Llc × 25% – 50% direct ≈ 18.75% – 50% of the firm
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.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Intratek Computer, Inc 401(k) Profit Sharing Plan | Intratek Computer, Inc. | 108 | $6.4M | 01/01/2024 |
| Professional Health Care Of Pi 401(k) Profit Sharing Plan & Trust | Professional Health Care Of Pi | 137 | $8.0M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/20/2026 | 1.54 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Sei Investments Distribution Co. $225M (39% of AUM) Apr 2026
- Charles Schwab & Co. $165M (29% of AUM) Apr 2026
- Fidelity Brokerage Services $52.0M (29% of AUM) Mar 2020
- RBC $42.9M (11% of AUM) Feb 2025
- E*TRADE (Morgan Stanley) $21.5M (12% of AUM) Jan 2021
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: Jul 28, 2026.
View current Form ADV (SEC/IAPD) ↗