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CAPITAL INVESTMENT COUNSEL, LLC

DENVER, CO · CRD 328472 · IAPD ↗ · (303) 381-0200

$1.35BRegulatory AUM
5Advisory reps
8Employees
1Clients
51-100Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
April 2026 — CAPITAL INVESTMENT COUNSEL, LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
51
December 2025 — CAPITAL INVESTMENT COUNSEL, LLC notice-filed in FL, MI, NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
December 2025 — CAPITAL INVESTMENT COUNSEL, LLC now reports custody of client assets ($886.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
55
April 2025 — CAPITAL INVESTMENT COUNSEL, LLC added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
69
April 2025 — CAPITAL INVESTMENT COUNSEL, LLC reports 26-50 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
72
April 2025 — CAPITAL INVESTMENT COUNSEL, LLC grew from 2 to 4 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
85
April 2025 — CAPITAL INVESTMENT COUNSEL, LLC crossed $1B in regulatory AUM ($548.3M -> $1.18B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
73
March 2024 — CAPITAL INVESTMENT COUNSEL, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.