CAPITAL MARKETS IQ, LLC – investment adviser, $571M regulatory AUM (Form ADV)

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
High-net-worth individuals	91	$223,738,393	39.2%
Individuals	607	$141,541,069	24.8%
Corporations & businesses	78	$121,149,709	21.2%
Retirement plans	101	$83,464,010	14.6%
Charities	7	$1,553,390	0.3%

Filing source

Form ADV 2122583 · Jul 28, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

3 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

ECIPIIIHedge Fund · Last reported Dec 2, 2015$5.36MGross asset value

Fund administrator NOTTINGHAM INVESTMENT VEHICLE SOLUTIONS ROCKY MOUNT, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor RICHEY MAY & CO DENVER, Colorado, United States

Custodian INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC NEW YORK, New York, United States Related to adviser: No

Custodian WELLS FARGO BANK NEW YORK, New York, United States Related to adviser: No

Prime broker INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
SEC 8-66471

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
CRD 131487 · SEC 8-66471

Fund details & source

Fund ID: 805-6708145708
Reported beneficial owners: 1
Minimum commitment: $1M

Form ADV 960348 · Dec 2, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ECIPIIHedge Fund · Last reported Jan 22, 2018$2.5MGross asset value

Custodian IBERIA BANK MEMPHIS, Tennessee, United States Related to adviser: No

Custodian RBC CAPITAL MARKETS, LLC LOS ANGELES, California, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

RBC CAPITAL MARKETS, LLC
SEC 8-45411

Fund details & source

Fund ID: 805-1245122131
Reported beneficial owners: 3
Minimum commitment: $1M

Form ADV 1166906 · Jan 22, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ECIPHYHedge Fund · Last reported Feb 27, 2014$1MGross asset value

Custodian PERSHING LLC LOS ANGELES, California, United States Related to adviser: No

Prime broker PERSHING LLC LOS ANGELES, California, United States

Provider details

Annual audit: No
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

PERSHING LLC
SEC 8-17574

PERSHING LLC
CRD 7560 · SEC 8-17574

Fund details & source

Fund ID: 805-9143102564
Reported beneficial owners: 5
Minimum commitment: $500K

Form ADV 792354 · Feb 27, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jul 28, 2026. View historical filings

Reported services

Financial planning · Individual portfolio management · Selection of other advisers

Compensation

Percentage of assets · Hourly · Fixed · Performance-based

Principal office

CRD 134921

Filing source

Form ADV 2122583 · Jul 28, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.