SourcingSourcing

CAPITAL MARKETS IQ, LLC

C37
CRD 134921·SEC 801-69992
AUM
$571.4M
$500M-$1B
Est. Revenue
$5.7M
@ 1% on AUM
Est. EBITDA
$1.7M
@ 30% margin
Est. Deal Value
$13.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CAPITAL MARKETS IQ, LLC
CRD
134921
SEC file #
801-69992
EIN
876470839
DBA names
—

Economics

AUM
$571.4M
AUM band
$500M-$1B
AUM trajectory
'20'26
$181.8M → $571.4M▲ +214%
Client mix
Individuals Other607
Pension Profit Sharing Plans101
Individuals High Net Worth91
Corporations78
Charitable Organizations7

Operations

Employees (total)
23
Advisory staff (per ADV)
20
Advisory staff (5-yr trend)
'20'26
23 advisors → 20 advisors▼ -13%
Primary office
—
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisersOther Advisory Services
Fee basis
% of AUMHourly chargesFixed feesPerformance-based fees

Filings

Latest ADV filing
04/20/2026
ADV-W filed at
—
Website
linkedin.com/in/t-matthew-chase-38574139(social)

Compliance

Disclosures (firm)
2
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LCM/HPW TRUST
Top Owner Pct
62.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
LCM/HPW TRUST
EXTENSOR CAPITAL N.A., LLC
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
2
Form 5500 Total Compensation
81,237
Form 5500 Compensation Trajectory 3y
202581,237
Form 5500 Plan Count Trajectory 3y
20252
Schedule C Total Compensation
81,237
Schedule C Service Provider Rows
2

SEC EDGAR

Edgar Cik
0001885853
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2021-11-08
Edgar Last Filing Date
2022-03-03
Edgar Form D Count
2
Edgar Form D Offerings
2022-03-032022-03-03 · 0001885853-22-000001
2021-11-082021-11-08 · 0001885853-21-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (10)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
19
Bc Firm IAR Count
19
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fidelity1
Edgar Addresses
Mailing
350 JERICHO TURNPIKESUITE 302JERICHO, NY 11753
Business
350 JERICHO TURNPIKESUITE 302JERICHO, NY 11753
Edgar EIN
876470839
Edgar Recent Filings
D/A2022-03-03 · 0001885853-22-000001
D2021-11-08 · 0001885853-21-000001
Firm Has Custody
Yes
Trust Company Affiliate
No

People (21)

21
RABINOWITZ, MATTHEW, V
IAR · Executive Officer · 2.5%
5772204
WISEMAN, KENNETH, NELSON
IAR · Executive Officer · 2.5%
1621758
CARLINO, ANITA, B
Executive Officer · 2.5%
7244352
TURNBOW, PENELOPE, Y
Executive Officer · 2.5%
5644575
Timothy Gerard Valik
IAR
7384154
DANIEL ERIC MILLMAN
IAR
6355655
WILLIAM JOHN PENSON LAWTON
IAR
865963
JASON DANIEL SAYLES
IAR
4140191
STEPHEN MAYNARD ALINIKOFF
IAR
1022014
MICHAEL H. SIMMS
IAR
5753849
David Mirkin
IAR
8030767
MICHAEL GREGORY DICKERSON
IAR
67338
THOMAS MITCHEL MARSHBURN
IAR
2239917
THOMAS MATTHEW CHASE
IAR
6359561
ROBERT ALAN SCHREIBER
IAR
1467891
William W. Peng
IAR
5790866
Jason Lawrence Bright
IAR
6937240
LAWRENCE FERNANDES PEREIRA
IAR
4408339
ADAM STEVEN JORGENSEN
IAR
5606630
IAN MATTHEW JOHNSON
IAR
6789313
Zachary Ryan Wooten
IAR
7504310