Capital Management Llc
- Regulatory AUM
- $383M
- Discretionary
- $349M
- Clients
- 238
- Avg AUM / client
- $1.6M
- Accounts
- 516
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Mar 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 148 | $37.9M | 9.9% |
| High net worth individuals | 84 | $310M | 81.0% |
| Pension and profit sharing plans | 2 | $32.5M | 8.49% |
| Charitable organizations | 2 | $1.8M | 0.46% |
| Insurance companies | 2 | $384K | 0.1% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Cottonwood Capital Management, Inc. 401(k) Safe Harbor Retirement Plan Cottonwood Capital Management, Inc. | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Peele Gray | Managing Partner, Chief Compliance Officer | CFP | Mar 2009 (17y) | 75% or more |
| Joseph Christian Williams | Minority Shareholder | May 2022 (4y) | 5% – 10% | |
| Charles Thomas Reid | Registered representative | Jun 2015 (11y) |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Cottonwood Capital Management, Inc. 401(k) Safe Harbor Retirement Plan | Cottonwood Capital Management, Inc. | 225 | $11.8M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/16/2026 | 958 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Fidelity Brokerage Services $195M (51% of AUM) Mar 2026
- Charles Schwab & Co. $158M (41% of AUM) Mar 2026
- National Financial Services (Fidelity) $59.5M (22% of AUM) Mar 2021
- Ascensus Trust Company $30.0M (8% of AUM) Mar 2026
- Vanguard Marketing Corporation $3.6M (1% of AUM) Mar 2025
- Vanguard Group [Malvern, Pa] $3.4M (1% of AUM) Mar 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 16, 2026.
View current Form ADV (SEC/IAPD) ↗