Form ADV & Client
Relationship Summary
Required SEC disclosures and regulatory information for our investment advisory services. These documents provide important information about our services, fees, and business practices.
SEC Regulation
As a SEC-registered investment advisor, Capital Ideas is required to provide clients and prospective clients with our Form ADV and Client Relationship Summary (CRS). These documents contain important information about our services, fees, and business practices.
Form ADV Documents
Form ADV Part 2A - Firm Brochure
Our firm brochure provides detailed information about Capital Ideas' advisory business, including our services, fees, investment strategies, and potential conflicts of interest.
Form ADV Part 2B - Brochure Supplement
Individual brochure supplements for our advisory personnel, including their educational background, business experience, and disciplinary information (if any).
Client Relationship Summary (CRS)
What is a CRS?
The Client Relationship Summary is a brief, plain-English summary of our investment advisory services, fees, conflicts of interest, and disciplinary history. It's designed to help you understand our relationship and compare us with other investment professionals.
The CRS answers key questions such as:
- What investment services and advice can you provide me?
- What fees will I pay?
- What are your legal obligations to me when acting as my investment advisor?
- How do your conflicts of interest affect me?
- Do you or your financial professionals have legal or disciplinary history?
Additional Regulatory Information
SEC Investment Adviser Database
You can research our registration and disciplinary information through the SEC's Investment Adviser Public Disclosure (IAPD) website.
Visit SEC IAPDState Registration
Capital Ideas is registered with the SEC and operates in multiple states. Our registration status and any state-specific requirements are detailed in our Form ADV.
Fiduciary Standard
As a registered investment advisor, Capital Ideas operates under the fiduciary standard, meaning we are legally obligated to act in our clients' best interests at all times.
Fee Structure
Our fee structure is fully disclosed in Form ADV Part 2A. We operate as a fee-only advisor, meaning we don't receive commissions from investment product sales.
Payment: Quarterly in advance
Questions to Ask Your Investment Professional
The SEC encourages you to ask these key questions when evaluating investment professionals:
About Services:
"Given my financial situation, should I choose an investment advisory service? Why or why not?"
About Fees:
"How will you choose investments to recommend to me?"
About Conflicts:
"How might your conflicts of interest affect me, and how will you address them?"
About Background:
"As a financial professional, do you have any disciplinary history? For what type of conduct?"
We Welcome Your Questions
We encourage you to ask us these and any other questions you may have about our services. Transparency is fundamental to our client relationships.
Questions About Our Disclosures?
We're happy to discuss any aspects of our Form ADV or regulatory information. Contact us to schedule a consultation or request additional information.