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Collegiate Capital Management, Inc.

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Client assets under management

$636,993,251

Clients

438

47% high-net worth

Advisors

4

of 8 employees

Firm type

Team

4-10 advisors or $500M+ in AUM

Clients per advisor

110

Very High

Average account size

$1,454,322

About

Collegiate Capital Management provides investment advisory services to individual and high‑net‑worth clients, as well as retirement plan sponsors, trusts, estates and other entities. The firm offers customized portfolio management, cash‑management portfolios, four risk‑based PRISM model portfolios for smaller accounts, consolidated reporting through a proprietary client portal, and retirement plan (ERISA) advisory services.

The firm typically manages client assets on a discretionary basis, developing strategies aligned with each client’s objectives, risk tolerance and time horizon and emphasizing mutual funds and ETFs for employer‑sponsored accounts while using individual equities and fixed income where appropriate. Investment decisions are informed by the firm’s research processes and investment committee reviews, periodic rebalancing, and selective use of structured products (market‑linked notes) intended to be held to maturity when used in client portfolios.

Noteworthy aspects include acting as the sponsor of its own wrap fee program — a role relatively uncommon among peer team firms — and formal prime‑broker arrangements with iCapital and Causeway that furnish access and product data for market‑linked notes. The firm also consolidates household‑level portfolios through an account aggregation system and CCMconnect to provide integrated reporting, and it combines a concierge‑style planning service for larger or more complex households with streamlined model solutions for smaller accounts.

Client services

Financial planning Portfolio management Pension consulting

Expertise

Retirement income strategy Social Security optimization Charitable giving & philanthropy General tax planning Annuities

Occupation focus

Retired Founder/Business Owner

Demographic focus

Approaching retirement

Fee options

Percentage

$0 - $99,999: 2.25% $100,000 - $249,999: 1.75% $250,000 - $499,999: 1.50% $500,000 - $999,999: 1.25% $1,000,000 - $2,999,999: 1.00% $3,000,000 - $4,999,999: 0.90% $5,000,000 - $9,999,999: 0.80% $10,000,000+: 0.75%

Commissions

Commissions may be received by certain licensed insurance agents for sale of fixed annuities and life insurance products; no commissions on securities

Other

Account minimum: $100,000 Minimum fee: $2,500 annually minimum fee for retirement plan services Fee-only: Advisory fees based on percentage of assets under management; no commissions on securities products

Main office location

Collegiate Capital Management, Inc.

214 New Bern Place

Raleigh NC 27601, United States

Number of offices

1

Most active in

Arizona · California · Colorado · Florida · Georgia · Louisiana · Nebraska · New York · North Carolina · South Carolina · Tennessee · Texas · Virginia

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Advisors at this firm

user avatar

Cory C

Series 66

Raleigh, NC

Collegiate Capital Management, Inc.

Cory Capps is a financial advisor at Collegiate Capital Management, Inc. in Raleigh, NC, with 21 years of industry experience. He has been with Collegiate Capital Management since 2003 and holds a Series 66 designation. Capps serves on the firm's board of directors and acts as corporate secretary. Collegiate Capital Management serves individuals, trusts, pension and profit-sharing plans, and retirement plan sponsors by providing discretionary portfolio management, financial planning, and ERISA services. The firm offers customized investment strategies and manages both retail brokerage and employer-sponsored retirement accounts, with a focus on mutual funds, ETFs, fixed income, and structured products accessed through prime broker relationships.

Retirement income strategy Social Security optimization Charitable giving & philanthropy General tax planning Annuities Retired Founder/Business Owner Approaching retirement
user avatar

Tony S

Series 63, Series 65

Raleigh, NC

Collegiate Capital Management, Inc.

Tony Sigmon is a financial advisor at Collegiate Capital Management, Inc. in Raleigh, NC, holding Series 63 and Series 65 licenses with 32 years of industry experience. He worked at Securities Service Network, Inc. for 22 years before continuing his career at Collegiate Capital Management since 1994. Collegiate Capital Management serves individuals, trusts, pension and profit-sharing plans, and retirement plan sponsors by providing discretionary portfolio management, financial planning, and retirement-plan services. The firm offers customized investment strategies using mutual funds, ETFs, fixed income, and structured products, and is notable for sponsoring its own Schwab-based wrap fee program and maintaining prime broker relationships to access specialized investment products.

Retirement income strategy Social Security optimization Charitable giving & philanthropy General tax planning Annuities Retired Founder/Business Owner Approaching retirement
user avatar

Derek W

Series 63, Series 65

Raleigh, NC

Collegiate Capital Management, Inc.

Derek Walker is a financial advisor with Collegiate Capital Management, Inc. in Raleigh, NC, holding Series 63 and Series 65 licenses and bringing 34 years of industry experience. He has been with Collegiate Capital Management since 1999 and previously worked at Securities Service Network, Inc. from 1999 to 2016. Outside of his advisory role, he serves as a trustee for an irrevocable trust. Collegiate Capital Management serves individuals, trusts, pension and profit-sharing plans, and retirement plan sponsors by providing discretionary portfolio management, financial planning, and ERISA services. The firm offers customized investment strategies and risk-based model portfolios, managing over half a billion dollars in regulatory assets while maintaining unique prime broker relationships and proprietary client technology.

Retirement income strategy Social Security optimization Charitable giving & philanthropy General tax planning Annuities Retired Founder/Business Owner Approaching retirement
user avatar

Daniel S

CFP®, Series 63, Series 66

Raleigh, NC

Collegiate Capital Management, Inc.

Daniel Sigmon is a CFP® professional with 15 years of industry experience, currently serving at Collegiate Capital Management, Inc. in Raleigh, NC. He has worked at Collegiate Capital since 2008 and was previously with Securities Service Network from 2012 to 2016. Outside of advisory work, he holds a limited partner interest in a local restaurant, Che Empanada, LLC. Collegiate Capital Management serves individuals, trusts, pension and profit-sharing plans, and retirement plan sponsors with discretionary portfolio management, financial planning, and ERISA services. The firm offers customized strategies and risk-based model portfolios, emphasizing mutual-fund analysis and structured products accessed through prime broker relationships.

Retirement income strategy Social Security optimization Charitable giving & philanthropy General tax planning Annuities Retired Founder/Business Owner Approaching retirement
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