Capital Investment Management, Llc
- Regulatory AUM
- $100M
- Discretionary
- $100M
- Clients
- 96
- Avg AUM / client
- $1.0M
- Accounts
- 97
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 11, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 68 | $20.0M | 20.0% |
| High net worth individuals | 28 | $54.8M | 54.7% |
| Charitable organizations | Fewer than 5 clients | $25.3M | 25.3% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kurt James Halverstadt | Managing Member | Sep 2009 (17y) | 50% – 75% | |
| Sean Anthony Lehmann | Managing Member And Chief Compliance Officer | Sep 2009 (17y) | 50% – 75% | |
| Allison Michelle Peterson | Registered representative | Jan 2026 (1y) |
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) | 05/11/2026 | 1.4 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: BREACH OF EMPLOYMENT CONTRACT BETWEEN EMPLOYER AND EMPLOYEE Status: Final Summary: PERSONAL JUDGMENT ENTERED BY CIVIL COURT AFTER AN ARBITRATED EMPLOYMENT DISPUTE WITH PRIOR BROKER-DEALER EMPLOYER. NO SECURITIES VIOLATIONS WERE INVOLVED. ACTION WAS NOT INVESTOR INITIATED AND WAS NOT INVESTOR RELATED. EMPLOYMENT DISPUTE ONLY RELATED TO MR. HALVERSTADT'S HAVING LEFT THE EMPLOYMENT OF THE BROKER-DEALER AND STARTED HIS OWN INVESTMENT ADVISORY FIRM. JUDGMENT AWARDED MONETARY DAMAGES TO THE BROKER-DEALER FOR, AMONG OTHER RELATED CLAIMS, BREACH OF THE PRIOR EMPLOYMENT CONTRACT AND INJUNCTIVE RELIEF.
Allegations: BREACH OF EMPLOYMENT AGREEMENT Status: Final Summary: PERSONAL JUDGMENT ENTERED BY CIVIL COURT AFTER AN ARBITRATED EMPLOYMENT DISPUTE WITH PRIOR BROKER-DEALER EMPLOYER. NO SECURITIES VIOLATIONS WERE INVOLVED. ACTION WAS NOT INVESTOR INITIATED AND WAS NOT INVESTOR RELATED. EMPLOYMENT DISPUTE ONLY RELATED TO MR. LEHMANN'S HAVING LEFT THE EMPLOYMENT OF THE BROKER-DEALER AND STARTED HIS OWN INVESTMENT ADVISORY FIRM. JUDGMENT AWARDED MONETARY DAMAGES TO THE BROKER-DEALER FOR, AMONG OTHER RELATED CLAIMS, BREACH OF THE PRIOR EMPLOYMENT CONTRACT AND INJUNCTIVE RELIEF.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Commissions
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Truist Financial Corp $100M (100% of AUM) May 2026
- Altruist Financial $100M (100% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: May 11, 2026.
View current Form ADV (SEC/IAPD) ↗