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Kevin Fifer

Capital City Asset Management Group, LLC
22 Years of Experience
Maumee, OH
11 DisclosuresBrokerSells Insurance
View SEC Summary
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Kevin Fifer is a registered investment advisor at Capital City Asset Management Group, LLC, based in Maumee, OH, with 22 years of industry experience. Kevin is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Education Planning, and 6 more. Their firm serves 261 clients with $80M in assets under management.

Capital City Asset Management Group, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12 advisors
Number of Clients
261 clients
Average Client Portfolio
$306K average
Assets Under Management
$79.9M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.90%
$250K - $500K2.50%
$500K - $1.0M2.00%
$1.0M - $2.0M1.50%
$2.0M - $5.0M1.00%
$5M+0.75%

Fees are negotiable and may be lower than stated maximums. Florida residents have a maximum fee of 2.0% for assets up to $500,000.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Maumee, OH

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History

Regulatory History (11)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
April 2019
Pending
Customer Dispute
February 2015
Award / Judgment
Judgment / Lien
May 2014
Judgment / Lien
April 2014
Judgment / Lien
October 2013
Judgment / Lien
May 2013
Judgment / Lien
August 2012
Regulatory
July 2012
Final
Judgment / Lien
September 2011
Judgment / Lien
November 2009
Judgment / Lien
September 1996
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Kevin is an Investment Advisor Representative at Capital City Asset Management Group LLC, providing investment advice during market hours, taking about half of his time. He is also a licensed insurance agent in Ohio, providing fixed life insurance.

Employment History
Current Registrations
Capital City Asset Management Group, LLC
November 2019 - Present · 6 yrs 11 mos
Capital City Securities, LLC
August 2008 - Present · 18 yrs 2 mos
Capital City Securities, LLCBroker
August 2008 - Present · 18 yrs 2 mos
Previous Registrations
Regis Asset Management LLC
January 2016 - May 2018 · 2 yrs 4 mos
Regis Asset Management LLC
August 2006 - December 2015 · 9 yrs 4 mos
Regis Securities CorporationBroker
March 2004 - August 2008 · 4 yrs 5 mos
State Registrations3 states
FLMIOH
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Kevin Fifer - Financial Advisor | TrueAdvisor