Capital Management Services, Inc.
- Regulatory AUM
- $145M
- Discretionary
- $145M
- Clients
- 242
- Avg AUM / client
- $600K
- Accounts
- 242
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Mar 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 215 | $98.2M | 67.6% |
| High net worth individuals | 27 | $47.0M | 32.4% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Service Energy, Llc Combined Profit Sharing Plan Service Energy, Llc | 2024 | |
| Mistras Group, Inc. Salary Savings Plan Mistras Group, Inc. | 2024 |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Michael Gissy | President/Cco | Dec 1985 (41y) | 75% or more | |
| Joseph Charles Gissy | Chief Operating Officer | Jan 2018 (9y) | Less than 5% | |
| Ian Thomas Robertson | Registered representative | Oct 2015 (11y) | ||
| Michael David Zimmerman | Registered representative | Jan 2017 (10y) | ||
| Jeffrey Ira Fouts | Registered representative | Oct 2018 (8y) | ||
| Thomas Walter Brown | Registered representative | Feb 2020 (6y) | ||
| Richard William Ervolino | Registered representative | Jan 2025 (2y) | ||
| James Edward Pritchett | Registered representative | Dec 2025 (1y) |
Undisclosed: 0% – 25% 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 (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Service Energy, Llc Combined Profit Sharing Plan | Service Energy, Llc | 267 | $10.5M | 01/01/2024 |
| Mistras Group, Inc. Salary Savings Plan | Mistras Group, Inc. | 3,067 | $201M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/19/2026 | 1.14 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: STATE OF MISSOURI ALLEGED THAT CMS ASSOICATED WITH AN INVESTMENT ADVISER REPRESENTATIVE WITHOUT THE PROPER REGISTRATION. Status: Final Sanction Detail: FINE WAS DUE BY 7/31/2011 AND WAS PAID IN FULL BY THE FIRM BEFORE THE DUE DATE. Summary: CMS HAD FILED A FORM U4 APPLICATION FOR AN INVESTMENT ADVISORY REP IN 4/2009, BUT THE REGISTRATION REQUEST HAD BEEN UNKNOWINGLY PURGED IN 7/2009 DUE TO AN ADMINISTRATIVE ERROR. CMS HAD RECEIVED NO NOTIFICATION THAT THE REGISTRATION HAD NOT BEEN APPROVED, AND CONSEQUENTLY ASSUMED THAT THERE WERE NO ISSUES RELATED TO THE REGISTRATION AND THAT IT WAS APPROVED. UPON LEARNING THE REGISTRATION WAS NOT APPROVED, CMS CORRECTED THE APPLICATION DEFICIENCY AND CONFIRMED APPROVAL OF THE REGISTRATION.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $140M (96% of AUM) Mar 2026
- Mid Atlantic Capital Corporation $36.3M (23% of AUM) Mar 2021
- Newedge Securities, Inc. $36.3M (26% of AUM) Aug 2023
- Interactive Brokers $4.0M (3% of AUM) Mar 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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 19, 2026.
View current Form ADV (SEC/IAPD) ↗